KL
Kai Liu
NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 6000354
KL
Professional summary
Kai Liu is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Kai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kai has worked at 4 firms and has passed the Series 66, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kai Liu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kai Liu'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
February 26, 2015 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
February 25, 2015 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
October 20, 2014 - January 14, 2015
GILDER GAGNON HOWE & CO. LLC
RIA
CRD#: 2002
NEW YORK, NY
Past
October 17, 2014 - January 14, 2015
GILDER GAGNON HOWE & CO. LLC
BD
CRD#: 2002
NEW YORK, NY
Past
April 3, 2012 - October 7, 2014
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
January 25, 2012 - October 7, 2014
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
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
California(2/25/2015)
RR
Colorado(2/25/2015)
RR
Connecticut(2/25/2015)
RR
Delaware(2/25/2015)
RR
District of Columbia(2/25/2015)
RR
Florida(2/25/2015)
RR
Georgia(2/25/2015)
RR
Hawaii(2/25/2015)
RR
Illinois(2/25/2015)
RR
Iowa(2/25/2015)
RR
Kentucky(2/25/2015)
RR
Maine(2/25/2015)
RR
Maryland(2/25/2015)
RR
Massachusetts(2/25/2015)
RR
Minnesota(2/25/2015)
RR
New Jersey(2/25/2015)
IAR
New Jersey(2/26/2015)
RR
New York(2/25/2015)
IAR
New York(3/25/2021)
RR
North Carolina(2/25/2015)
RR
Ohio(2/25/2015)
RR
South Carolina(2/25/2015)
RR
Texas(2/25/2015)
Exams
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.
