Paul W Lanks is a registered financial professional at NEUBERGER BERMAN BD LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2008. Paul has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (1)
New York (9/10/2013)
SRO REGISTRATIONS (3)
Nasdaq ISE, LLC APPROVED
Nasdaq Stock Market APPROVED
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
NEUBERGER BERMAN BD LLC (#2908)
1290 Avenue Of The Americas, New York, NY, 10104
9/10/2013 - Current
PREVIOUS EMPLOYERS (2)
J.P. MORGAN SECURITIES LLC (#79)
1/10/2012 - 9/11/2013
New York, NY
MORGAN STANLEY & CO. LLC (#8209)
8/29/2008 - 3/24/2011
New York, NY
Paul W Lanks
Experience: 15 years / 3 firms
The lack of due diligence on a financial advisor costs Americans billions each year. While most of our public information could help you choose the right advisor, taking a deeper dive into disclosures is going to shed a deeper light on whether or not you feel comfortable moving forward with a particular financial advisor.
Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
Want to compare, monitor or see disclosures (and more) about this financial professional?
Not sure you want to work with Paul and thinking of a few other financial advisors to potentially work with as well?
Compare Paul and up to two other advisors side-by-side, just like how you would pull a Carfax report.
Planning to create a potentially life-long relationship with Paul?
AdvisorCheck membership to save this advisor and as many others as you would like to your dashboard.
Our advisor profiles are constantly updated with new regulatory information, essential comparison, critical data, graphs, charts, and more to continually improve the consumer and investor experience when working with a financial services professional.