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AC

Andrew Chipman

NEUBERGER BERMAN BD
Mount Juliet, TN
Some features on this profile are disabled
CRD#: 6020565
AC

Professional summary

Andrew Chipman, who also goes by Andrew R Chipman, Andrew Robert Chipman, Chip Chipman, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Mount Juliet, Tennessee.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew R Chipman | Andrew Robert Chipman | Chip Chipman

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Chipman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew Chipman'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 9, 2026 - Present

NEUBERGER BERMAN BD LLC

RIA
BD
CRD#: 2908
Mount Juliet, TN
Current

April 8, 2026 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104
RIA
BD
CRD#: 2908
New York, NY
Past

March 10, 2023 - April 1, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Mount Juliet, TN
Past

March 9, 2023 - April 1, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 6, 2022 - March 6, 2023

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NASHVILLE, TN
Past

March 30, 2022 - March 6, 2023

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
Nashville, TN
Past

September 10, 2021 - February 2, 2022

SOUTHERN OAK CAPITAL, LLC

RIA
CRD#: 309933
BIRMINGHAM, AL
Past

September 10, 2021 - December 3, 2021

VISTIA CAPITAL, LLC

BD
CRD#: 311342
LONE TREE, CO
Past

November 8, 2018 - February 14, 2020

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Tempe, AZ
Past

February 23, 2016 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

February 17, 2016 - February 14, 2020

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
Tempe, AZ
Past

July 1, 2013 - January 6, 2016

TD AMERITRADE, INC.

RIA
CRD#: 7870
CHICAGO, IL
Past

July 1, 2013 - January 6, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
CHICAGO, IL
Past

May 13, 2013 - January 6, 2016

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

October 29, 2012 - April 29, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(4/8/2026)
RR
New York
(4/8/2026)
IAR
New York
(4/10/2026)
RR
North Carolina
(4/8/2026)
RR
South Carolina
(4/8/2026)
RR
Tennessee
(4/8/2026)
IAR
Tennessee
(4/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/24/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Event20
Arbitration5

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.

Company Information

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

CRD#: 2908Mount Juliet, TN

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