MK
Michael C. King
NEUBERGER BERMAN BD LLC
Port Monmouth, NJ
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CRD#: 6421005
MK
Professional summary
Michael Christopher King, who also goes by Michael King, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Port Monmouth, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael King
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.
1. 11/16/2021 - M&T FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ NEW YORK, NY 2. 09/30/2021 - M&T BANK/ FINANCIAL INSTITUTION DUTY/ INVESTMENT RELATED/ 100%/ NEW YORK, NY
CRS (Client Relationship Summary) - RIA
Click below to view Michael Christopher King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Christopher King'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
April 9, 2025 - Present
NEUBERGER BERMAN BD LLC
Office #2: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
Port Monmouth, NJ
Current
April 9, 2025 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
November 16, 2021 - March 28, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEW YORK, NY
Past
November 16, 2021 - March 28, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW YORK, NY
Past
February 16, 2021 - October 11, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
September 25, 2019 - October 11, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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(4/9/2025)
RR
Colorado(4/9/2025)
RR
Connecticut(4/9/2025)
RR
Illinois(4/9/2025)
RR
Massachusetts(4/9/2025)
RR
Minnesota(4/9/2025)
RR
Missouri(4/9/2025)
RR
New Jersey(4/9/2025)
RR
New York(4/9/2025)
IAR
New York(4/9/2025)
RR
North Carolina(4/9/2025)
RR
Ohio(4/10/2025)
RR
Pennsylvania(4/9/2025)
RR
Virginia(4/9/2025)
RR
Wisconsin(4/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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.
