VO
Valerie A. O'connor
NEUBERGER BERMAN BD LLC
CHICAGO, IL 60603
Some features on this profile are disabled
CRD#: 4849906
VO
Professional summary
Valerie Ann O'connor, who also goes by Valerie Ann Christine, Valerie Ann Christine, Valerie Ann Oconnor, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.
Valerie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Valerie has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Valerie Ann Christine | Valerie Ann Christine | Valerie Ann Oconnor
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.
CRS (Client Relationship Summary) - RIA
Click below to view Valerie Ann O'connor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Valerie Ann O'connor'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
August 27, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Current
May 5, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Past
November 30, 2016 - April 2, 2021
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
June 15, 2010 - June 5, 2012
PIPER SANDLER & CO.
BD
CRD#: 665
CHICAGO, IL
Past
November 29, 2007 - June 28, 2010
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
August 4, 2005 - August 24, 2007
WAMU CAPITAL CORP.
BD
CRD#: 119069
CHICAGO, IL
Past
October 21, 2004 - May 19, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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)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
Alabama(9/29/2022)
RR
Alaska(9/29/2022)
RR
Arizona(9/29/2022)
RR
Arkansas(9/29/2022)
RR
California(1/19/2022)
RR
Colorado(4/20/2022)
RR
Connecticut(9/29/2022)
RR
Delaware(4/20/2022)
RR
District of Columbia(9/29/2022)
RR
Florida(1/19/2022)
RR
Georgia(9/29/2022)
RR
Hawaii(9/29/2022)
RR
Idaho(9/29/2022)
RR
Illinois(5/5/2021)
IAR
Illinois(8/27/2021)
RR
Indiana(9/29/2022)
RR
Iowa(9/29/2022)
RR
Kansas(9/29/2022)
RR
Kentucky(9/29/2022)
RR
Louisiana(9/29/2022)
RR
Maine(9/29/2022)
RR
Maryland(9/29/2022)
RR
Massachusetts(9/29/2022)
RR
Michigan(1/19/2022)
RR
Minnesota(3/9/2022)
RR
Mississippi(9/29/2022)
RR
Missouri(9/29/2022)
RR
Montana(9/29/2022)
RR
Nebraska(9/29/2022)
RR
Nevada(9/29/2022)
RR
New Hampshire(9/29/2022)
RR
New Jersey(9/29/2022)
RR
New Mexico(2/10/2022)
RR
New York(5/5/2021)
IAR
New York(8/27/2021)
RR
North Carolina(9/29/2022)
RR
North Dakota(9/29/2022)
RR
Ohio(1/19/2022)
RR
Oklahoma(9/29/2022)
RR
Oregon(1/19/2022)
RR
Pennsylvania(9/29/2022)
RR
Puerto Rico(9/29/2022)
RR
Rhode Island(9/29/2022)
RR
South Carolina(9/29/2022)
RR
South Dakota(9/29/2022)
RR
Tennessee(9/29/2022)
RR
Texas(1/19/2022)
RR
Utah(9/29/2022)
RR
Vermont(9/29/2022)
RR
Virgin Islands(9/29/2022)
RR
Virginia(9/29/2022)
RR
Washington(1/19/2022)
RR
West Virginia(9/29/2022)
RR
Wisconsin(4/20/2022)
RR
Wyoming(9/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
