SG
Simon D. Griffiths
NEUBERGER BERMAN BD LLC
Toronto, M4W 1A8
Some features on this profile are disabled
CRD#: 6991261
SG
Professional summary
Simon David Griffiths, who also goes by Simon Griffiths, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC .
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Simon has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Simon Griffiths
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 Simon David Griffiths's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Simon David Griffiths'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
September 4, 2018 - Present
NEUBERGER BERMAN BD LLC
Office #1: 2 Bloor Street East Suite 2830, Toronto, M4W 1A8RIA
BD
CRD#: 2908
Toronto,
Current
October 22, 2018 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
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
Alabama(3/13/2024)
RR
Alaska(3/13/2024)
RR
Arizona(9/6/2021)
RR
Arkansas(3/13/2024)
RR
California(6/25/2020)
RR
Colorado(11/27/2020)
RR
Connecticut(3/25/2020)
RR
Delaware(11/6/2019)
RR
District of Columbia(3/13/2024)
RR
Florida(5/13/2020)
RR
Georgia(3/2/2022)
RR
Hawaii(1/19/2024)
RR
Idaho(1/5/2024)
RR
Illinois(8/26/2020)
RR
Indiana(9/5/2023)
RR
Iowa(11/3/2023)
RR
Kansas(3/13/2024)
RR
Kentucky(6/8/2023)
RR
Louisiana(5/12/2023)
RR
Maine(9/22/2021)
RR
Maryland(11/6/2019)
RR
Massachusetts(6/12/2020)
RR
Michigan(11/6/2019)
RR
Minnesota(6/20/2023)
RR
Mississippi(2/25/2021)
RR
Missouri(4/12/2021)
RR
Montana(3/25/2020)
RR
Nebraska(9/15/2023)
RR
Nevada(12/1/2020)
RR
New Hampshire(5/17/2021)
IAR
New Jersey(9/4/2018)
RR
New Jersey(3/25/2020)
RR
New Mexico(2/10/2022)
RR
New York(9/13/2019)
IAR
New York(2/25/2021)
RR
North Carolina(7/29/2021)
RR
North Dakota(3/13/2024)
RR
Ohio(10/22/2020)
RR
Oklahoma(3/13/2024)
RR
Oregon(10/26/2021)
RR
Pennsylvania(2/7/2023)
RR
Puerto Rico(3/13/2024)
RR
Rhode Island(2/1/2022)
RR
South Carolina(3/13/2024)
RR
South Dakota(11/8/2021)
RR
Tennessee(2/9/2021)
RR
Texas(11/6/2019)
RR
Utah(3/13/2024)
RR
Vermont(2/4/2021)
RR
Virgin Islands(3/13/2024)
RR
Virginia(7/27/2022)
RR
Washington(3/2/2021)
RR
West Virginia(3/13/2024)
RR
Wisconsin(3/31/2021)
RR
Wyoming(3/12/2024)
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.
