Deepa Mogili
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.
Deepa Mogili was a registered financial professional .
Deepa is a previously registered financial professional and started their career in finance in 2005. Deepa had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2008 - September 11, 2012
NEUBERGER BERMAN MANAGEMENT LLC
July 20, 2005 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
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 MANAGEMENT LLC
CRD#: 5493 / SEC#: 801-8259, 8-16229
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | MEMBER | 124687 |
| AINSWORTH, JASON RYAN | MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS | 2603762 |
| ALLARD, ANDREW BRIAN | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 2531561 |
| AMATO, JOSEPH VINCENT | CEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES | 2210305 |
| CETRON, BRAD ELLIOT | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D | 4040222 |
| CONTI, ROBERT JOHN | PRESIDENT & CEO | 1266599 |
| DEMPSEY, JAMES J | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1371700 |
| TANK, BRADLEY CURTIS | MANAGING DIRECTOR, CIO FIXED INCOME | 1060650 |
| WILLIAMS, CHAMAINE NATHALEE | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A | 2628906 |
Disclosures
| Regulatory Event | 2 |
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.
