LS
Laura J. Sloate
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 426477
LS
Professional summary
Laura Joy Sloate, CFA, who also goes by Laura J Sloate, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Laura has worked at 5 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 16, Series 1, Series 27, Series 24, Series 53, Series 4, F04 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura J Sloate
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
METROPOLITAN OPERA - CHAIR OF INVESTMENT COMMITTEE SINCE 2004. RESPONSIBLE FOR THE SELECTION OF INVESTMENT MANAGERS, ASSET ALLOCATION, POLICY REVIEW AND PERFORMANCE REVIEW. APPROXIMATELY 12 HOURS PER MONTH ARE DEVOTED TO THE COMMITTEE. CENTRAL SYNAGOGUE - MEMBER OF INVESTMENT COMMITTEE SINCE 2003. RESPONSIBLE FOR THE SELECTION OF INVESTMENT MANAGERS, ASSET ALLOCATION, AND PERFORMANCE REVIEW. APPROXIMATELY 2 HOURS PER MONTH ARE DEVOTED TO THE COMMITTEE. I HAVE A DREAM FOUNDATION - NATIONAL BOARD OF TRUSTEES MEMBER SINCE JUNE 2006. UTILIZING HER EXPERTISE AND KNOWLEDGE IN THE FIELD OF EDUCATION AND BUSINESS MANAGEMENT TO HELP THE ORGANIZATION BECOME MORE STRUCTURED AND UNIFORM ACROSS THE STATES, OFFERING MORE VISIBILITY AND A HIGHER CORPORATE PROFILE. APPROXIMATELY 4-6 HOURS PER MONTH (DURING NON-TRADING HOURS) WILL BE DEVOTED TO THE FOUNDATION.Also,The Perlman Music Program,Member Board of Trustees,Start Date, 01/08/2009,1 Hour a month dedicated one hour a month during non-trading hours. Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view Laura Joy Sloate's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Joy Sloate's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 3, 2005 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
March 3, 2005 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
October 23, 2002 - May 31, 2005
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
RIA
CRD#: 6655
NEW YORK, NY
Past
December 22, 1995 - March 4, 2005
SWM SECURITIES, INC.
BD
CRD#: 38637
NEW YORK, NY
Past
March 20, 1974 - January 24, 1996
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
BD
CRD#: 6655
NEW YORK, NY
Past
May 11, 1973 - March 23, 1974
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
July 28, 1972 - May 11, 1973
DREXEL BURNHAM & CO. INCORPORATED
BD
CRD#: 116
Past
September 16, 1970 - July 21, 1972
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/11/2005)
RR
California(3/3/2005)
RR
Colorado(3/3/2005)
RR
Connecticut(3/3/2005)
RR
Delaware(1/3/2006)
RR
District of Columbia(4/9/2019)
RR
Florida(3/3/2005)
RR
Hawaii(10/9/2020)
RR
Idaho(11/28/2012)
RR
Illinois(6/26/2012)
RR
Iowa(2/1/2008)
RR
Kansas(4/22/2021)
RR
Louisiana(1/3/2006)
RR
Maine(3/3/2005)
RR
Maryland(3/14/2005)
RR
Massachusetts(10/4/2007)
RR
Michigan(11/28/2012)
RR
Minnesota(1/3/2006)
RR
Missouri(12/18/2020)
RR
Montana(11/13/2018)
RR
New Hampshire(1/3/2006)
RR
New Jersey(3/3/2005)
IAR
New Jersey(3/3/2005)
RR
New Mexico(11/24/2014)
RR
New York(3/3/2005)
IAR
New York(3/3/2021)
RR
Ohio(3/3/2005)
RR
Oregon(7/18/2023)
RR
Pennsylvania(3/3/2005)
RR
Puerto Rico(1/8/2014)
RR
South Carolina(1/8/2014)
RR
Tennessee(7/21/2020)
RR
Texas(1/3/2006)
RR
Vermont(11/27/2020)
RR
Virgin Islands(4/11/2005)
RR
Virginia(3/5/2010)
RR
Washington(10/3/2014)
RR
Wisconsin(11/28/2012)
RR
Wyoming(1/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/16/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
F04
Date: 10/17/1975
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 2/12/1974
Registered Principal ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1290 Avenue Of The Americas, New York, NY 10104
Mailing Address
1290 Avenue Of The Americas, New York, NY 10104
Phone number
(212) 476-9000
Established
Delaware since 11/01/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,058
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
