Richard J. Horvath
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.
Richard James Horvath, who also goes by Richard Horrath, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2010 - March 22, 2016
NEUBERGER BERMAN BD LLC
July 29, 2010 - March 22, 2016
NEUBERGER BERMAN BD LLC
March 6, 2007 - December 31, 2009
NEUBERGER BERMAN MANAGEMENT LLC
March 6, 2007 - July 29, 2010
NEUBERGER BERMAN MANAGEMENT LLC
January 23, 2006 - November 7, 2006
T. ROWE PRICE ADVISORY SERVICES, INC.
March 11, 2005 - November 7, 2006
T. ROWE PRICE INVESTMENT SERVICES, INC.
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
Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
