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Investment Adviser Firm Summary

NEUBERGER BERMAN BD LLC (CRD# 2908 / SEC# 8-1068, 801-3908)
Alternate Names: NEUBERGER & BERMAN , NEUBERGER & BERMAN, LLC , NEUBERGER BERMAN BD LLC , NEUBERGER BERMAN LLC , NEUBERGER BERMAN, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/26/1966

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/01/1991
Alaska 02/24/1993
Arkansas 11/01/1996
California 07/08/1997
Connecticut 08/27/1997
Delaware 05/16/2003
District of Columbia 12/01/1993
Florida 08/01/1986
Georgia 06/08/1998
Hawaii 11/01/1996
Idaho 03/09/1987
Illinois 12/06/1979
Indiana 02/05/2001
Iowa 01/01/1999
Kansas 09/02/1997
Kentucky 07/30/1982
Louisiana 10/12/2001
Maine 01/01/1998
Maryland 10/01/1990
Michigan 11/05/1999
Minnesota 11/25/1986
Mississippi 11/29/2000
Missouri 10/08/1986
Montana 11/23/1997
Nebraska 08/27/1997
Nevada 11/26/1990
New Hampshire 11/07/1986
New Jersey 12/07/1960
New Mexico 05/01/1979
New York 01/03/1974
North Carolina 01/22/2001
North Dakota 03/15/1995
Ohio 04/14/1999
Oklahoma 12/31/2000
Oregon 01/22/2001
Pennsylvania 10/27/1981
Puerto Rico 04/02/2001
Rhode Island 01/01/1993
South Carolina 09/23/2003
South Dakota 02/08/1993
Tennessee 09/10/1997
Texas 11/01/1996
Utah 03/25/1992
Vermont 10/27/1994
Virgin Islands 04/21/2005
Virginia 09/04/1987
Washington 11/12/1985
West Virginia 02/09/1987
Wisconsin 09/05/1997

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser