Individual Firm
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PATRICK WARREN KENEFICK
CRD#: 2536500
IA
B
NEUBERGER BERMAN BD LLCCRD#: 2908 401 EAST JACKSON STREET SUITE 2350
TAMPA, FL 33602
TAMPA, FL 33602
View By:
6/17/2003
Customer Dispute
Denied
State Registrations
B
Alabama 5/14/2012
B
Nebraska 11/4/2022
B
California 1/2/2015
B
Nevada 9/10/2014
B
Colorado 11/30/2012
B
New Jersey 5/10/2012
B
Connecticut 6/22/2017
B
New York 5/9/2012
B
Florida 5/8/2012
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New York 3/29/2021
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Florida 5/8/2012
B
North Carolina 5/4/2012
B
Georgia 5/3/2012
B
Puerto Rico 2/11/2022
B
Illinois 5/2/2012
B
Rhode Island 1/14/2013
B
Iowa 4/10/2020
B
South Carolina 5/17/2012
B
Louisiana 12/3/2012
B
Tennessee 5/10/2012
B
Massachusetts 9/8/2014
B
Texas 5/16/2012
B
Michigan 6/1/2021
B
Virginia 1/14/2013
B
Minnesota 11/3/2020
B
Wyoming 9/5/2014
B
Missouri 2/9/2017
SRO Registrations
B
B
B
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Learn about permitted activities of registered principals
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Registered with this firm since 5/8/2012
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Registered with this firm since 5/2/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/30/2004 - 05/01/2012 | SAINT PETERSBURG, FL | |
B | 08/24/2004 - 05/01/2012 | NEW YORK, NY | |
IA | 08/30/2004 - 11/28/2006 | SAINT PETERSBURG, FL | |
IA | 02/13/2003 - 07/15/2004 | SARASOTA, FL | |
B | 11/26/2002 - 07/15/2004 | APPLETON, WI | |
B | 06/21/2002 - 11/29/2002 | JERSEY CITY, NJ | |
B | 08/17/1998 - 06/16/2000 | NEW YORK, NY | |
B | 10/06/1994 - 01/04/1995 | ATLANTA, GA |
SAINT PETERSBURG, FL
08/30/2004 - 05/01/2012
SAINT PETERSBURG, FL
08/30/2004 - 11/28/2006
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.