Michelle B. Stein
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.
Michelle Barbara Stein, who also goes by Michele Barbara Stein, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1980. Michelle had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2007 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
July 26, 2002 - April 6, 2021
NEUBERGER BERMAN BD LLC
April 24, 1980 - April 6, 2021
NEUBERGER BERMAN BD LLC
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
Current Firm
NEUBERGER BERMAN MANAGEMENT LLC
CRD#: 5493 / SEC#: 801-8259, 8-16229
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | MEMBER | 124687 |
| AINSWORTH, JASON RYAN | MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS | 2603762 |
| ALLARD, ANDREW BRIAN | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 2531561 |
| AMATO, JOSEPH VINCENT | CEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES | 2210305 |
| CETRON, BRAD ELLIOT | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D | 4040222 |
| CONTI, ROBERT JOHN | PRESIDENT & CEO | 1266599 |
| DEMPSEY, JAMES J | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1371700 |
| TANK, BRADLEY CURTIS | MANAGING DIRECTOR, CIO FIXED INCOME | 1060650 |
| WILLIAMS, CHAMAINE NATHALEE | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A | 2628906 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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