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Eric Zhou

NEUBERGER BERMAN BD
WEST PALM BEACH, FL
·CRD# 5590412·10 years experience

Professional Summary

Eric Zhou is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in West Palm Beach, Florida. Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Eric has worked at 1 firm and has passed the Series 66, Series 31, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

10 years in the financial services industry

Current & Past Employments

NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
BD
1. City Place Tower 525 Okeechobee Blvd Ste 850, West Palm Beach, FL 334012. Jacksonville, FL
December 21, 2016 - Present
NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
BD
City Place Tower 525 Okeechobee Blvd Ste 850, West Palm Beach, FL 33401
April 18, 2016 - Present

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Current Firm

NEUBERGER BERMAN BD LLC
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)

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

1,087

SEC notice filing (50 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLCMEMBER124687
AMATO, JOSEPH VINCENTPRESIDENT, CHIEF EXECUTIVE OFFICER2210305
CETRON, BRAD ELLIOTCHIEF COMPLIANCE OFFICER4040222
CHINNI, MICHAELCHIEF FINANCIAL OFFICER5721816
HENTON, LORIN FREDMANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS3014463

Disclosures

Regulatory Event

20

Arbitration

5

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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.

1) Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis. 2) Managing Member of Holding Company LLC, a limited liability company established for the purpose of holding personal assets in connection with estate planning. In this capacity, I am responsible for making investment decisions on behalf of the entity. This role commenced on April 23, 2026. I do not receive, nor am I entitled to receive, any form of compensation in connection with this role. Given the purely personal and estate planning nature of the LLC, no business hours are devoted to this activity during or outside of regular business hours. I hold a 100% financial interest in Holding Company LLC, with the specific dollar value of that interest to be determined. This entity exists solely to facilitate personal estate planning objectives and does not engage in any business activities that would give rise to a conflict of interest with my duties as a registered representative. Accordingly, I do not believe this outside activity conflicts with the interests of my employer or its clients in any respect.

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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 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(8/7/2024)
RR
California
(8/7/2024)
RR
Colorado
(8/7/2024)
RR
Delaware
(8/7/2024)
RR
Florida
(11/29/2021)
RR
Hawaii
(8/7/2024)
RR
Illinois
(8/7/2024)
RR
Iowa
(8/7/2024)
RR
Massachusetts
(8/7/2024)
RR
Missouri
(8/7/2024)
RR
New Jersey
(12/20/2016)
IAR
New Jersey
(12/21/2016)
RR
New York
(12/20/2016)
IAR
New York
(3/25/2021)
RR
North Carolina
(11/4/2025)
RR
Oregon
(8/7/2024)
RR
Pennsylvania
(1/2/2024)
RR
Utah
(8/7/2024)
RR
Virginia
(8/7/2024)
RR
Washington
(8/7/2024)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2016About the Series 66 exam

Series 31 — Futures Managed Funds Examination

Passed Sep 2022About the Series 31 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2016About the Series 7 exam
FINRA
SRO Registrations
Nasdaq ISE, LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Eric Zhou's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eric Zhou's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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