MP
Maria Pappas
NEUBERGER BERMAN BD LLC
New York, NY 10104
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CRD#: 849775
MP
Professional summary
Maria Pappas, who also goes by Maria Pappas Tarantino, Maria Tarantino, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Maria has worked at 2 firms and has passed the Series 63, Series 72, SIE, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maria Pappas Tarantino | Maria Tarantino
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.
U.S. Cypriot Chamber of Commerce.Mission of organization is to promote goodwill, trade and investment between the US and Cyprus. http://www.cyprususchamber.com/ President. As Secretary I assisted the President in achieving the Chamber's goals. As President I will have the leadership role in setting the Agenda. Also will become one of the main contact people for the organization. One of the first items that I will address is organizing and updating the Chamber's data base and Web site. The Chamber will then be able to communicate more effectively with it's members. Secondly increase membership; Americans of Cypriot descent and we need more women. We hold a number of events every year. So far for 2019, we held an Architectural event, a social with the AJC, and our Gala honoring Exxon. Start Date 1/1/2020.Hours during Trading hours is 2 hours a month. 10 hours a month during non Trading Hours. Neuberger Berman BD LLC ("NBBD") is a wholly owned subsidiary of Neuberger Berman Investment Advisers LLC, ("NBIA") a registered investment adviser, which shares offices with each NBBD office. Concurrent with the Registered Representative's duties to NBBD throughout the Registered Representative's period of employment at NBBD, they also provide portfolio management services to various NBBD clients, including separate accounts and pooled investment vehicles, which are managed by NBIA, on an ongoing basis.
CRS (Client Relationship Summary) - RIA
Click below to view Maria Pappas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maria Pappas'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
July 25, 2002 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
August 19, 1979 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
August 19, 1979 - March 29, 1984
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
Past
March 3, 1978 - September 20, 1979
LOEB PARTNERS
BD
CRD#: 7534
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(4/15/2021)
RR
Alaska(4/15/2021)
RR
Arizona(5/5/2006)
RR
Arkansas(4/15/2021)
RR
California(3/29/2002)
RR
Colorado(5/5/2006)
RR
Connecticut(3/29/2002)
RR
Delaware(4/28/2020)
RR
District of Columbia(11/26/2002)
RR
Florida(2/27/2002)
RR
Georgia(1/6/2003)
RR
Hawaii(4/15/2021)
RR
Idaho(4/15/2021)
RR
Illinois(5/30/2003)
RR
Indiana(4/15/2021)
RR
Iowa(11/18/2002)
RR
Kansas(4/15/2021)
RR
Kentucky(5/5/2006)
RR
Louisiana(5/5/2006)
RR
Maine(8/18/2008)
RR
Maryland(1/1/1997)
RR
Massachusetts(3/29/2002)
RR
Michigan(5/5/2006)
RR
Minnesota(8/28/2002)
RR
Mississippi(5/5/2006)
RR
Missouri(5/5/2006)
RR
Montana(4/15/2021)
RR
Nebraska(4/15/2021)
RR
Nevada(5/5/2006)
RR
New Hampshire(11/26/2002)
RR
New Jersey(12/18/1985)
IAR
New Jersey(7/25/2002)
RR
New Mexico(5/5/2006)
RR
New York(9/7/1981)
IAR
New York(3/26/2021)
RR
North Carolina(5/8/2006)
RR
North Dakota(4/15/2021)
RR
Ohio(5/8/2006)
RR
Oklahoma(5/5/2006)
RR
Oregon(5/5/2006)
RR
Pennsylvania(3/29/2002)
RR
Puerto Rico(4/15/2021)
RR
Rhode Island(8/18/2008)
RR
South Carolina(5/5/2006)
RR
South Dakota(4/15/2021)
RR
Tennessee(5/5/2006)
RR
Texas(5/5/2006)
RR
Utah(4/15/2021)
RR
Vermont(4/15/2021)
RR
Virgin Islands(4/15/2021)
RR
Virginia(11/26/2002)
RR
Washington(9/17/2002)
RR
West Virginia(4/15/2021)
RR
Wisconsin(4/15/2021)
RR
Wyoming(4/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/8/1984
Interest Rate Options ExaminationGeneral Industry/Product 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.
