Steven C. Ruta

NEUBERGER BERMAN BD LLC

Lincroft, NJ 07738

Some features on this profile are disabled

CRD#: 5941110

Professional summary

Steven Christopher Ruta, who also goes by Steven Christopher Ruta, Steven Ruta, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Lincroft, New Jersey.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 8 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Christopher Ruta | Steven Ruta

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.

Jenkinson's Pavilion - non-investment related. 300 Ocean Ave, Point Pleasant Beach, NJ 08742 - restaurant - bartender - employee - Eight hours per month during non-securities trading hours. Zero hours per month during securities trading hours. Alpha Fit Club - non-investment related. 23 Maple Ave., Red Bank, NJ 07701 - personal trainer - contractor - Five hours per month during non-securities trading hours. Zero hours per month during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Steven Christopher Ruta'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

April 7, 2025 - Present

NEUBERGER BERMAN BD LLC

Office #1: 34 Eckert Dr, Lincroft, NJ 07738

RIA

CRD#: 2908

Lincroft, NJ

Current

April 7, 2025 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104

RIA

CRD#: 2908

New York, NY

Past

March 8, 2024 - March 18, 2025

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

March 20, 2021 - March 27, 2024

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NEW YORK, NY

Past

March 17, 2021 - March 19, 2021

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NEW YORK, NY

Past

March 17, 2021 - March 27, 2024

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NEW YORK, NY

Past

February 2, 2021 - February 9, 2021

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

November 18, 2020 - December 8, 2020

LUCID CAPITAL MARKETS, LLC

CRD#: 140345

New York, NY

Past

February 29, 2016 - June 25, 2020

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

July 9, 2015 - June 25, 2020

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

April 21, 2015 - July 2, 2015

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

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

Connecticut
(9/25/2025)

Maine
(9/25/2025)

Massachusetts
(9/29/2025)

New Hampshire
(9/30/2025)

New Jersey
(4/7/2025)

IAR

New Jersey
(4/7/2025)

IAR

New York
(4/7/2025)

New York
(4/8/2025)

Rhode Island
(9/30/2025)

Vermont
(9/25/2025)

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: 2/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/14/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/2015

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

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven C. Ruta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

TRANSAMERICA CAPITAL, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHELSEA FINANCIAL SERVICES

LUCID CAPITAL MARKETS, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

LEGEND EQUITIES CORPORATION

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2016

Series 31

Date: 4/14/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/21/2015

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