Carlos M. Batista Gutierrez
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.
Carlos Miguel Batista Gutierrez, who also goes by Carlos Batista, Carlos M Batista, Carlos Miguel Batista, Carlos Batistagutierrez, Carlos Miguel Gutierrez, Carlos M Gutierrez, Carlos Gutierrez, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2018. Carlos had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - May 26, 2026
NEUBERGER BERMAN BD LLC
October 11, 2022 - May 26, 2026
NEUBERGER BERMAN BD LLC
March 9, 2022 - September 26, 2022
FIDELITY BROKERAGE SERVICES LLC
November 17, 2021 - December 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2018 - March 3, 2021
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/19/2021
General Securities Representative ExaminationSeries 6TO
Date: 11/19/2018
Investment Company Products/Variable Contracts 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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