BS
Brien P. Smith
NEUBERGER BERMAN BD LLC
Dallas, TX 75201-3857
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CRD#: 4517835
BS
Professional summary
Brien Patrick Smith is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Dallas, Texas.
Brien is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brien has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OWNER RESOURCE GROUP, ADVISORY BOARD MEMEBER,600 CONGRESS, SUITE 200, AUSTIN TEXAS, 78701, START DATE 9/1/2010. AS PART OF MY DUTIES IN CURRENT POSITION, I SERVE ON ADVISORY BOARDS OF A NUMBER OF THE INVESTMENTS MADE BY OUR PRIVATE EQUITY FUNDS. ALL ARE APPROVED AND DISCLOSED BY OUR INVESTMENT TEAMS. Northwood Club, Northwood Club, 6524 Alpha Rd, Dallas, TX 75240, Not investment Related,Country Club, Member of Board of Governers,Serve on the Board and participate in Finance Committee, Start date 1/25/2023, 2 hours a month. suring Trading hours, 6 hours a month during non-trading hours. not an Investment related position. His responsibilities will only relate to the general maintenance/operations, upgrade/upkeep of the Club of which he has been a member for over 10 years. Based on the fact that Brien holds an equity interest/membership in the Club.
CRS (Client Relationship Summary) - RIA
Click below to view Brien Patrick Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brien Patrick Smith'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®
NoneExperience
Current
May 4, 2009 - Present
NEUBERGER BERMAN BD LLC
Office #1: 325 N. St Paul Street 49th Floor, Dallas, TX 75201-3857Office #2: 325 N. St. Paul Street Suite 4900, Dallas, TX 75201RIA
BD
CRD#: 2908
Dallas, TX
Current
April 23, 2009 - Present
NEUBERGER BERMAN BD LLC
Office #1: 325 N. St Paul Street 49th Floor, Dallas, TX 75201-3857RIA
BD
CRD#: 2908
Dallas, TX
Past
January 1, 2007 - December 31, 2009
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP
RIA
CRD#: 124970
DALLAS, TX
Past
November 12, 2003 - December 31, 2006
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP
RIA
CRD#: 124970
DALLAS, TX
Past
November 12, 2003 - December 31, 2009
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP
RIA
CRD#: 124969
DALLAS, TX
Past
July 12, 2002 - October 27, 2003
CROSSROADS INVESTMENT ADVISERS, L.P.
RIA
CRD#: 106150
DALLAS, TX
Past
July 12, 2002 - June 28, 2007
CROSSROADS INVESTMENT COMPANY L.P.
RIA
CRD#: 106148
DALLAS, TX
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
New York(5/4/2009)
IAR
New York(3/20/2021)
RR
Texas(5/4/2009)
IAR
Texas(5/4/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
CRD#: 2908Dallas, TX 75201-3857TRUST BUT VERIFY
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