Lawrence N. Zicklin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence Nmn Zicklin was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1969. Lawrence had worked at 3 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2000 - November 6, 2003
NEUBERGER BERMAN BD LLC
June 25, 1976 - November 6, 2003
NEUBERGER BERMAN MANAGEMENT LLC
May 15, 1975 - June 25, 1976
CEDAR STREET CONSULTANTS INC
July 25, 1969 - October 27, 1999
NEUBERGER BERMAN BD LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/17/1961
Registered Representative ExaminationSeries 00
Date: 7/21/1969
General Securities Principal ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
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.
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