OF
Olga D. Floresca
NEUBERGER BERMAN BD LLC
LONG BEACH, CA
Some features on this profile are disabled
CRD#: 5977784
OF
Professional summary
Olga Deperio Floresca, who also goes by Olga Deperio, Olga D Floresca, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Long Beach, California.
Olga is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Olga has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Olga Deperio | Olga D Floresca
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.
CRS (Client Relationship Summary) - RIA
Click below to view Olga Deperio Floresca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Olga Deperio Floresca'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
January 13, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #2: 10100 Santa Monica Boulevard Suite 975, Los Angeles, CA 90067RIA
BD
CRD#: 2908
LONG BEACH, CA
Current
January 13, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 10100 Santa Monica Boulevard Suite 975, Los Angeles, CA 90067RIA
BD
CRD#: 2908
Los Angeles, CA
Past
June 8, 2021 - January 18, 2022
COASTAL BRIDGE ADVISORS
RIA
CRD#: 152569
Los Angeles, CA
Past
September 2, 2014 - May 25, 2021
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
LOS ANGELES, CA
Past
March 13, 2014 - May 25, 2021
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
LOS ANGELES, CA
Past
July 17, 2013 - March 10, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
EL SEGUNDO, CA
Past
November 20, 2012 - April 11, 2013
MORGAN STANLEY
BD
CRD#: 149777
SAN JOSE, 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)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
Arizona(7/6/2022)
RR
California(1/13/2022)
IAR
California(1/14/2022)
RR
Colorado(7/6/2022)
RR
Connecticut(12/5/2024)
RR
Delaware(7/6/2022)
RR
Florida(7/6/2022)
RR
Hawaii(7/6/2022)
RR
Idaho(7/6/2022)
RR
Indiana(7/6/2022)
RR
Iowa(7/6/2022)
RR
Maine(7/6/2022)
RR
Maryland(7/6/2022)
RR
Nevada(7/6/2022)
RR
New Mexico(7/6/2022)
RR
New York(1/13/2022)
IAR
New York(1/13/2022)
RR
North Carolina(7/6/2022)
RR
Oklahoma(7/6/2022)
RR
Oregon(7/6/2022)
RR
Texas(7/6/2022)
RR
Utah(7/6/2022)
RR
Vermont(7/6/2022)
RR
Virginia(7/6/2022)
RR
Washington(7/6/2022)
RR
Wyoming(7/6/2022)
Exams
State Security Law Exam
State Security Law 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.
