Thomas N. Obaseki

NEUBERGER BERMAN BD LLC

CHICAGO, IL 60603

Some features on this profile are disabled

CRD#: 5574535

Professional summary

Thomas N Obaseki, who also goes by Thomas Obaseki, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 5 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Obaseki

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas N Obaseki's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2021 - Present

NEUBERGER BERMAN BD LLC

Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603

RIA

CRD#: 2908

CHICAGO, IL

Past

July 17, 2018 - June 8, 2021

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BOSTON, MA

Past

August 27, 2013 - September 19, 2013

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

SMITHFIELD, RI

Past

October 1, 2008 - June 9, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 8, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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)

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.

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

Alabama
(6/23/2021)

Alaska
(6/23/2021)

Arizona
(6/23/2021)

Arkansas
(6/23/2021)

California
(6/23/2021)

Colorado
(6/23/2021)

Connecticut
(6/23/2021)

Delaware
(6/23/2021)

District of Columbia
(6/23/2021)

Florida
(6/23/2021)

Georgia
(6/23/2021)

Hawaii
(6/23/2021)

Idaho
(6/23/2021)

Illinois
(6/23/2021)

Indiana
(6/23/2021)

Iowa
(6/23/2021)

Kansas
(6/23/2021)

Kentucky
(6/23/2021)

Louisiana
(6/23/2021)

Maine
(6/23/2021)

Maryland
(6/23/2021)

Massachusetts
(6/23/2021)

Michigan
(6/23/2021)

Minnesota
(6/23/2021)

Mississippi
(6/23/2021)

Missouri
(6/23/2021)

Montana
(6/23/2021)

Nebraska
(6/23/2021)

Nevada
(6/23/2021)

New Hampshire
(6/23/2021)

New Jersey
(6/23/2021)

New Mexico
(6/23/2021)

New York
(6/23/2021)

North Carolina
(6/23/2021)

North Dakota
(6/23/2021)

Ohio
(6/23/2021)

Oklahoma
(6/23/2021)

Oregon
(6/23/2021)

Pennsylvania
(6/23/2021)

Rhode Island
(6/23/2021)

South Carolina
(6/23/2021)

South Dakota
(6/23/2021)

Tennessee
(6/23/2021)

Texas
(6/23/2021)

Utah
(6/23/2021)

Vermont
(6/23/2021)

Virginia
(6/23/2021)

Washington
(6/23/2021)

West Virginia
(6/23/2021)

Wisconsin
(6/23/2021)

Wyoming
(6/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/26/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/20/2018

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2018

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas N. Obaseki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas N Obaseki's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUNDS DISTRIBUTOR, LLC

PYRAMIS DISTRIBUTORS CORPORATION LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/2018

Series 3

Date: 12/20/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2018

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

Similar Advisors