Stephen Mccarten

NEUBERGER BERMAN BD LLC

New York, NY 10104

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CRD#: 4701397

Professional summary

Stephen Mccarten is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Mccarten's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Mccarten's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 19, 2023 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Current

February 24, 2023 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Past

August 14, 2015 - November 20, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

August 25, 2014 - January 2, 2015

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

October 27, 2008 - May 22, 2013

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 18, 2003 - November 5, 2010

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

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)

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.

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

New Jersey
(4/19/2023)

IAR

New Jersey
(4/19/2023)

New York
(4/25/2023)

IAR

New York
(4/25/2023)

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

State Security Law Exam

IAR

Series 66

Date: 4/6/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/28/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 5/3/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/18/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/2006

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

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Advisor Monitoring

Firm Stability Insights

Stephen Mccarten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Mccarten's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Mccarten's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

FORESIDE FUND SERVICES, LLC

CANTOR FITZGERALD & CO.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2023

Series 63

Date: 12/17/2003

SIE

Date: 11/20/2015

Series 3

Date: 5/28/2008

Series 55

Date: 5/3/2004

Series 7

Date: 11/18/2003

Series 24

Date: 8/8/2006

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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