Kathleen M. Delfino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathleen Marie Delfino, who also goes by Kathleen Marie Stromberg, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1971. Kathleen had worked at 5 firms and has passed the Series 55, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - June 19, 2012
NEUBERGER BERMAN BD LLC
May 15, 1991 - June 19, 2012
NEUBERGER BERMAN BD LLC
August 11, 1980 - November 28, 1990
CREDIT SUISSE SECURITIES (USA) LLC
August 11, 1974 - August 13, 1984
NEW JAPAN SECURITIES INTERNATIONAL INC.
April 25, 1973 - July 8, 1974
DOMIK CORP.
July 7, 1971 - June 20, 1972
F S SMITHERS & CO INC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/15/2000
Limited Representative-Equity Trader ExamPC
Date: 8/13/1993
AMEX Put and Call ExamSeries 1
Date: 7/1/1971
Registered Representative ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
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
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