Individual Firm
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MARK ALAN POTTLE
CRD#: 2619029
IA
B
NEUBERGER BERMAN BD LLCCRD#: 2908 KELLER, TX
0
Disclosures
28
Years of Experience
View By:
State Registrations
B
Arizona 5/5/2015
B
New Mexico 5/5/2015
B
California 3/9/2018
B
New York 5/5/2015
B
Colorado 5/5/2015
IA
New York 3/29/2021
B
Hawaii 2/14/2024
B
Oklahoma 5/5/2015
B
Kansas 5/5/2015
B
Texas 5/5/2015
B
Missouri 1/23/2018
IA
Texas 6/12/2015
B
Nevada 1/27/2020
B
Utah 5/5/2015
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/12/2015
B
Registered with this firm since 5/5/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/30/2011 - 04/15/2015 | DALLAS, TX | |
IA | 05/19/2011 - 11/22/2011 | SOUTHLAKE, TX | |
IA | 05/19/2011 - 11/22/2011 | SOUTHLAKE, TX | |
B | 04/25/2011 - 11/22/2011 | SOUTHLAKE, TX | |
B | 01/01/2008 - 09/30/2010 | WESTLAKE, TX | |
B | 01/24/2003 - 01/01/2008 | WESTLAKE, TX | |
B | 05/04/1999 - 10/30/2002 | SMITHFIELD, RI | |
B | 11/14/1995 - 05/04/1999 | SMITHFIELD, RI | |
B | 08/09/1995 - 08/29/1995 | NEW YORK, NY |
WESTLAKE, TX
01/24/2003 - 01/01/2008
SMITHFIELD, RI
05/04/1999 - 10/30/2002
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.