LT
Laura A. Toppozini
NEUBERGER BERMAN BD LLC
Dallas, TX 75201-3857
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CRD#: 6942214
LT
Professional summary
Laura Ann Toppozini is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Dallas, Texas.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Laura has worked at 1 firm 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.
Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view Laura Ann Toppozini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Ann Toppozini'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
March 19, 2019 - Present
NEUBERGER BERMAN BD LLC
Office #1: 325 N. St Paul Street 49th Floor, Dallas, TX 75201-3857RIA
BD
CRD#: 2908
Dallas, TX
Current
September 24, 2018 - Present
NEUBERGER BERMAN BD LLC
Office #1: 325 N. St Paul Street 49th Floor, Dallas, TX 75201-3857RIA
BD
CRD#: 2908
Dallas, TX
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(9/6/2021)
RR
California(6/25/2020)
RR
Colorado(11/27/2020)
RR
Connecticut(3/25/2020)
RR
Delaware(11/6/2019)
RR
Florida(5/13/2020)
RR
Illinois(8/26/2020)
RR
Maine(9/22/2021)
RR
Maryland(11/6/2019)
RR
Massachusetts(6/12/2020)
RR
Michigan(11/6/2019)
RR
Mississippi(2/25/2021)
RR
Missouri(4/12/2021)
RR
Montana(3/25/2020)
RR
Nevada(12/1/2020)
RR
New Hampshire(5/17/2021)
RR
New Jersey(3/18/2019)
IAR
New Jersey(3/19/2019)
RR
New York(3/18/2019)
IAR
New York(2/25/2021)
RR
North Carolina(7/29/2021)
RR
Ohio(10/22/2020)
RR
Oregon(10/26/2021)
RR
South Dakota(11/8/2021)
RR
Tennessee(2/9/2021)
RR
Texas(11/6/2019)
IAR
Texas(7/8/2024)
RR
Vermont(2/4/2021)
RR
Washington(3/2/2021)
RR
Wisconsin(3/31/2021)
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
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Company Information
NEUBERGER BERMAN BD LLC
CRD#: 2908Dallas, TX 75201-3857TRUST BUT VERIFY
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