CB
Carlos M. Batista Gutierrez
NEUBERGER BERMAN BD LLC
New York, NY 10104
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CRD#: 7030199
CB
Professional summary
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, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Carlos has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Batista | Carlos M Batista | Carlos Miguel Batista | Carlos Batistagutierrez | Carlos Miguel Gutierrez | Carlos M Gutierrez | Carlos Gutierrez
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 Carlos Miguel Batista Gutierrez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Miguel Batista Gutierrez'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
February 24, 2023 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
October 11, 2022 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
March 9, 2022 - September 26, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GARDEN CITY, NY
Past
November 17, 2021 - December 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 19, 2018 - March 3, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
JACKSON HEIGHTS, 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(10/12/2022)
RR
Alaska(10/12/2022)
RR
Arizona(10/12/2022)
RR
Arkansas(10/12/2022)
RR
California(10/12/2022)
RR
Colorado(10/12/2022)
RR
Connecticut(10/12/2022)
RR
Delaware(10/12/2022)
RR
District of Columbia(10/12/2022)
RR
Florida(10/12/2022)
RR
Georgia(10/12/2022)
RR
Hawaii(10/12/2022)
RR
Idaho(10/12/2022)
RR
Illinois(10/12/2022)
RR
Indiana(10/12/2022)
RR
Iowa(10/12/2022)
RR
Kansas(10/12/2022)
RR
Kentucky(10/12/2022)
RR
Louisiana(10/12/2022)
RR
Maine(10/12/2022)
RR
Maryland(10/12/2022)
RR
Massachusetts(10/12/2022)
RR
Michigan(10/12/2022)
RR
Minnesota(10/12/2022)
RR
Mississippi(10/12/2022)
RR
Missouri(10/12/2022)
RR
Montana(10/12/2022)
RR
Nebraska(10/12/2022)
RR
Nevada(10/12/2022)
RR
New Hampshire(10/12/2022)
RR
New Jersey(10/12/2022)
RR
New Mexico(10/12/2022)
RR
New York(10/11/2022)
IAR
New York(2/24/2023)
RR
North Carolina(10/12/2022)
RR
North Dakota(10/12/2022)
RR
Ohio(10/12/2022)
RR
Oklahoma(10/12/2022)
RR
Oregon(10/12/2022)
RR
Pennsylvania(10/12/2022)
RR
Puerto Rico(10/12/2022)
RR
Rhode Island(10/12/2022)
RR
South Carolina(10/12/2022)
RR
South Dakota(10/12/2022)
RR
Tennessee(10/12/2022)
RR
Texas(10/12/2022)
RR
Utah(10/12/2022)
RR
Vermont(10/12/2022)
RR
Virgin Islands(10/12/2022)
RR
Virginia(10/12/2022)
RR
Washington(10/12/2022)
RR
West Virginia(10/12/2022)
RR
Wisconsin(10/12/2022)
RR
Wyoming(10/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/19/2018
Investment Company Products/Variable Contracts 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.
