JF
John F. Fulton Jr
NEUBERGER BERMAN BD LLC
Huntington, NY
Some features on this profile are disabled
CRD#: 5365066
JF
Professional summary
John F Fulton Jr, who also goes by John F Fulton Jr., is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Huntington, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John F Fulton Jr.
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.
LICENSED AS AN IND INS AGT TO SELL FIXED INS PRODUCTS*JOHN F FULTON FOUNDATION;at Residential Address, NON-INV REL; NON PROFIT; GIVING MONEY TO VARIOUS PROGRAMS INVOLVING CANCER RESEARCH AND LOCAL HIGH SCHOOL SCHOLARSHIPS;CEO/FOUNDER;START DATE 09/2009;HRS/MO 5;TRADING HRS/MO 0;FOUNDER OF CHARITABLE ORGANIZATION TO DONATE MONEY TO CANCER RESEARCH IN THE NAME OF JOHN FULTON SR*DIPAOLA FINANCIAL GROUP;SAME AS BRANCH;INV REL;FIXED INSURANCE SALES;FINANCIAL ADVISOR;START DATE 06/2013;HRS/MO 200;TRADING HRS/MO 100;SALE OF FIXED INSURANCE PRODUCTS*
CRS (Client Relationship Summary) - RIA
Click below to view John F Fulton Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John F Fulton Jr'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
April 8, 2014 - Present
NEUBERGER BERMAN BD LLC
RIA
BD
CRD#: 2908
Huntington, NY
Current
February 10, 2014 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
September 5, 2013 - February 24, 2014
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
MELVILLE, NY
Past
June 19, 2012 - January 25, 2013
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
June 12, 2009 - July 9, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GARDEN CITY, NY
Past
August 1, 2008 - April 9, 2009
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
September 7, 2007 - August 5, 2008
CASIMIR CAPITAL L.P.
BD
CRD#: 105061
GREENWICH, CT
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(11/22/2016)
RR
Arkansas(2/2/2018)
RR
Connecticut(4/30/2015)
RR
Delaware(4/30/2015)
RR
District of Columbia(4/30/2015)
RR
Florida(4/30/2015)
RR
Georgia(4/30/2015)
RR
Louisiana(2/2/2018)
RR
Maine(4/30/2015)
RR
Maryland(4/30/2015)
RR
Massachusetts(4/30/2015)
RR
Mississippi(2/2/2018)
RR
New Hampshire(4/30/2015)
RR
New Jersey(4/7/2014)
IAR
New Jersey(4/8/2014)
RR
New York(2/10/2014)
IAR
New York(3/25/2021)
RR
North Carolina(4/30/2015)
RR
Pennsylvania(4/30/2015)
RR
Puerto Rico(2/2/2018)
RR
Rhode Island(4/30/2015)
RR
South Carolina(4/30/2015)
RR
Tennessee(1/16/2018)
RR
Vermont(4/30/2015)
RR
Virginia(4/30/2015)
RR
West Virginia(4/30/2015)
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.
