Roger J. Trinwith

NEUBERGER BERMAN BD LLC

Los Angeles, CA

Some features on this profile are disabled

CRD#: 5736830

Professional summary

Roger James Trinwith is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Los Angeles, California.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Roger has worked at 5 firms and has passed the Series 66, Series 65, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Since October 7, 2022, I have been President of VIP Barrington, the HOA/building property management board located at my personal residence. My duties are to attend quarterly virtual board meeting during the evenings to approve projects, repairs, budgets, etc. This is not investment related and I devote approximately 1 hour per month, during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger James Trinwith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roger James Trinwith'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

October 17, 2024 - Present

NEUBERGER BERMAN BD LLC

Office #2: 10100 Santa Monica Boulevard Suite 975, Los Angeles, CA 90067

RIA

CRD#: 2908

Los Angeles, CA

Current

October 17, 2024 - Present

NEUBERGER BERMAN BD LLC

Office #1: 10100 Santa Monica Boulevard Suite 975, Los Angeles, CA 90067

RIA

CRD#: 2908

Los Angeles, CA

Past

December 19, 2016 - October 9, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

SANTA MONICA, CA

Past

January 25, 2016 - October 9, 2024

DFA SECURITIES LLC

CRD#: 10292

SANTA MONICA, CA

Past

October 1, 2013 - December 22, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LONG BEACH, CA

Past

September 10, 2013 - December 22, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LONG BEACH, CA

Past

December 17, 2009 - September 10, 2013

INDEX FUND ADVISORS, INC.

RIA

CRD#: 109143

IRVINE, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(10/17/2024)

IAR

California
(10/17/2024)

New York
(10/17/2024)

IAR

New York
(10/17/2024)

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

State Security Law Exam

IAR

Series 66

Date: 10/10/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/19/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 1/31/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2013

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger J. Trinwith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger James Trinwith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roger James Trinwith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

INDEX FUND ADVISORS, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2013

Series 65

Date: 9/19/2009

Series 31

Date: 1/31/2025

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2013

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