Bernard J. Griffin
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.
Bernard Joseph Griffin was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1980. Bernard had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - December 31, 2019
NEUBERGER BERMAN BD LLC
October 2, 2006 - December 31, 2019
NEUBERGER BERMAN BD LLC
July 1, 2003 - October 5, 2006
LEHMAN BROTHERS INC.
July 25, 1987 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
April 18, 1983 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 1, 1980 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 25, 1980 - October 5, 2006
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 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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