XP
Xavier M. Peoples
NEUBERGER BERMAN BD LLC
Atlanta, GA 30326
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CRD#: 5153048
XP
Professional summary
Xavier Mantrel Peoples, who also goes by Xavier Mantrel Peoples, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Atlanta, Georgia.
Xavier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Xavier has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Xavier Mantrel Peoples
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.
Owner of TEAM PEOPLES REAL ESTATE LLC, an entity established for the purpose of buying and renovating real estate properties to reduce personal liability. Role is passive investor in real estate. Expect to receive profits from the sale or rental income from properties in which this entity invests. No business hours are devoted to this activity; involvement is limited to passive investment oversight. No conflicts of interest exist with employment. Start date 9/1/2025.
CRS (Client Relationship Summary) - RIA
Click below to view Xavier Mantrel Peoples's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xavier Mantrel Peoples'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 20, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 3414 Peachtree Road N.e. Suite 225, Atlanta, GA 30326RIA
BD
CRD#: 2908
Atlanta, GA
Current
May 18, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 3414 Peachtree Road N.e. Suite 225, Atlanta, GA 30326RIA
BD
CRD#: 2908
Atlanta, GA
Past
July 1, 2021 - January 7, 2022
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
RIA
CRD#: 312837
LOS ANGELES, CA
Past
November 29, 2018 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
RIA
CRD#: 170017
Atlanta, GA
Past
April 12, 2017 - May 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
January 1, 2017 - May 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
September 20, 2006 - December 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ATLANTA, GA
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(7/8/2022)
RR
Arizona(7/8/2022)
RR
Arkansas(8/30/2022)
RR
California(7/8/2022)
RR
Colorado(7/8/2022)
RR
Delaware(7/8/2022)
RR
Florida(7/8/2022)
IAR
Georgia(6/21/2022)
RR
Georgia(7/8/2022)
RR
Idaho(7/8/2022)
RR
Illinois(4/6/2023)
RR
Indiana(7/8/2022)
RR
Kentucky(7/8/2022)
RR
Louisiana(7/8/2022)
RR
Maryland(7/8/2022)
RR
Massachusetts(7/8/2022)
RR
New Jersey(7/8/2022)
IAR
New York(6/20/2022)
RR
New York(7/8/2022)
RR
North Carolina(7/8/2022)
RR
Ohio(7/8/2022)
RR
Oregon(7/8/2022)
RR
South Carolina(7/8/2022)
RR
Tennessee(7/8/2022)
RR
Texas(7/8/2022)
RR
Virginia(7/8/2022)
RR
Wisconsin(7/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2022
General Securities Representative ExaminationGeneral 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.
