Derek R Devens
Professional Summary
Derek R Devens is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in West Palm Beach, Florida. Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Derek has worked at 5 firms and has passed the Series 66, Series 31, SIE, Series 7 and Series 30 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
Contact Information
Main Address
1290 Avenue Of The Americas, New York, NY 10104Mailing Address
1290 Avenue Of The Americas, New York, NY 10104Phone Number
(212) 476-9000Established
Delaware since 11/01/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,087SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
20Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
State Registrations and Notice Filings
(3/17/2017)
(8/31/2026)
(2/22/2017)
(9/9/2021)
(6/23/2016)
(8/29/2017)
(10/27/2016)
(6/30/2021)
(4/28/2020)
(4/28/2020)
(7/29/2026)
(7/3/2021)
(4/28/2020)
(4/28/2020)
(9/24/2025)
(5/15/2025)
(1/5/2016)
(2/2/2016)
(1/5/2016)
(3/19/2021)
(11/4/2025)
(2/16/2022)
(1/2/2024)
(10/1/2026)
(10/16/2026)
(7/18/2025)
(2/23/2017)
(9/11/2025)
(9/19/2025)
(4/28/2020)
(4/28/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Derek R Devens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derek R Devens's CRS (Customer Relationship Summary).
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