CD
Carrie B. Draper
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 5020050
CD
Professional summary
Carrie B. Draper, who also goes by Carrie Beth Draper, Carrie Beth Gilbert, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Carrie has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Beth Draper | Carrie Beth Gilbert
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 Carrie B. Draper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carrie B. Draper'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
June 3, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
June 3, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
April 27, 2016 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
January 1, 2016 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 19, 2007 - August 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
March 16, 2006 - June 26, 2007
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WHITEHOUSE, NJ
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
Arizona(8/14/2023)
RR
California(8/14/2023)
RR
Colorado(8/14/2023)
RR
Connecticut(8/14/2023)
IAR
Connecticut(7/1/2024)
RR
Delaware(6/20/2023)
RR
Florida(8/14/2023)
RR
Illinois(8/14/2023)
RR
Maine(8/14/2023)
RR
Maryland(8/14/2023)
RR
Massachusetts(8/14/2023)
RR
Michigan(8/14/2023)
RR
Minnesota(8/14/2023)
RR
Missouri(5/7/2025)
RR
New Jersey(8/14/2023)
RR
New Mexico(8/14/2023)
RR
New York(6/3/2022)
IAR
New York(6/3/2022)
RR
North Carolina(8/14/2023)
RR
Ohio(8/15/2023)
RR
Oregon(9/7/2023)
RR
Pennsylvania(8/14/2023)
RR
Puerto Rico(7/31/2025)
RR
South Dakota(8/14/2023)
RR
Texas(8/14/2023)
RR
Utah(8/14/2023)
RR
Vermont(8/14/2023)
RR
Washington(8/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
