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Investment Adviser Firm Summary
NEUBERGER BERMAN BD LLC ( CRD # 2908/SEC#:801-3908,8-1068 )
NEUBERGER & BERMAN, NEUBERGER BERMAN, LLC, NEUBERGER BERMAN LLC, NEUBERGER BERMAN BD LLC, NEUBERGER & BERMAN, LLC
View latest Form ADV filedPart 2 Brochures

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/26/1966
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.

JURISDICTIONEFFECTIVE DATE
Alabama3/1/1991
Alaska2/24/1993
Arkansas11/1/1996
California7/8/1997
Colorado10/5/2020
Connecticut8/27/1997
Delaware5/16/2003
District of Columbia12/1/1993
Florida8/1/1986
Georgia6/8/1998
Hawaii11/1/1996
Idaho3/9/1987
Illinois12/6/1979
Indiana2/5/2001
Iowa1/1/1999
Kansas9/2/1997
Kentucky7/30/1982
Louisiana10/12/2001
Maine1/1/1998
Maryland10/1/1990
Michigan11/5/1999
Minnesota11/25/1986
Mississippi11/29/2000
Missouri10/8/1986
Montana11/23/1997
Nebraska8/27/1997
Nevada11/26/1990
New Hampshire11/7/1986
New Jersey12/7/1960
New Mexico5/1/1979
New York1/3/1974
North Carolina1/22/2001
North Dakota3/15/1995
Ohio4/14/1999
Oklahoma12/31/2000
Oregon1/22/2001
Pennsylvania10/27/1981
Puerto Rico4/2/2001
Rhode Island1/1/1993
South Carolina9/23/2003
South Dakota2/8/1993
Tennessee9/10/1997
Texas11/1/1996
Utah3/25/1992
Vermont10/27/1994
Virgin Islands4/21/2005
Virginia9/4/1987
Washington11/12/1985
West Virginia2/9/1987
Wisconsin9/5/1997
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.