Bruce A. Crystal

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CRD#: 835792

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.

Bruce Alan Crystal was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1977. Bruce had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 4, 2009 - December 31, 2015

NEUBERGER BERMAN BD LLC

CRD#: 2908

BOSTON, MA

Past

August 9, 1996 - November 4, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

BOSTON, MA

Past

June 10, 1985 - August 2, 1996

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 30, 1984 - June 6, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

June 5, 1982 - March 8, 1984

LEHMAN BROTHERS INTERNATIONAL SECURITIES, INC.

CRD#: 7406

Past

May 19, 1982 - March 8, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

March 21, 1978 - June 1, 1982

SALOMON BROTHERS INC.

CRD#: 740

Past

April 1, 1977 - March 21, 1978

WEEDEN & CO.

CRD#: 878

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/14/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

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)

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

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Advisor Monitoring

Firm Stability Insights

Bruce A. Crystal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEHMAN BROTHERS INC.

MORGAN STANLEY & CO. LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INTERNATIONAL SECURITIES, INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

SALOMON BROTHERS INC.

WEEDEN & CO.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1992

SIE

Date: 12/31/2015

Series 7

Date: 3/19/1977

Series 8

Date: 6/14/1990

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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