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VALERIE ANN O'CONNOR
VALERIE ANN CHRISTINE, VALERIE ANN CHRISTINE, VALERIE ANN OCONNOR
CRD#: 4849906
IA
Investment Adviser
B
Broker
NEUBERGER BERMAN BD LLCCRD#: 2908 190 SOUTH LASALLE STREET
23RD & 24TH & 27TH FLOOR
CHICAGO, IL 60603
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2016 - 2021 (4 years)BPIPER JAFFRAY & CO. (CRD# 665)2010 - 2012 (2 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2007 - 2010 (2 years)BWAMU CAPITAL CORP. (CRD# 119069)2005 - 2007 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Alabama 9/29/2022

B
Nebraska 9/29/2022

B
Alaska 9/29/2022

B
Nevada 9/29/2022

B
Arizona 9/29/2022

B
New Hampshire 9/29/2022

B
Arkansas 9/29/2022

B
New Jersey 9/29/2022

B
California 1/19/2022

B
New Mexico 2/10/2022

B
Colorado 4/20/2022

B
New York 5/5/2021

B
Connecticut 9/29/2022

IA
New York 8/27/2021

B
Delaware 4/20/2022

B
North Carolina 9/29/2022

B
District of Columbia 9/29/2022

B
North Dakota 9/29/2022

B
Florida 1/19/2022

B
Ohio 1/19/2022

B
Georgia 9/29/2022

B
Oklahoma 9/29/2022

B
Hawaii 9/29/2022

B
Oregon 1/19/2022

B
Idaho 9/29/2022

B
Pennsylvania 9/29/2022

B
Illinois 5/5/2021

B
Puerto Rico 9/29/2022

IA
Illinois 8/27/2021

B
Rhode Island 9/29/2022

B
Indiana 9/29/2022

B
South Carolina 9/29/2022

B
Iowa 9/29/2022

B
South Dakota 9/29/2022

B
Kansas 9/29/2022

B
Tennessee 9/29/2022

B
Kentucky 9/29/2022

B
Texas 1/19/2022

B
Louisiana 9/29/2022

B
Utah 9/29/2022

B
Maine 9/29/2022

B
Vermont 9/29/2022

B
Maryland 9/29/2022

B
Virgin Islands 9/29/2022

B
Massachusetts 9/29/2022

B
Virginia 9/29/2022

B
Michigan 1/19/2022

B
Washington 1/19/2022

B
Minnesota 3/9/2022

B
West Virginia 9/29/2022

B
Mississippi 9/29/2022

B
Wisconsin 4/20/2022

B
Missouri 9/29/2022

B
Wyoming 9/29/2022

B
Montana 9/29/2022

SRO Registrations

B
FINRA

B
Nasdaq ISE, LLC

B
Nasdaq Stock Market

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEUBERGER BERMAN BD LLC (CRD#:2908)
190 SOUTH LASALLE STREET 23RD & 24TH & 27TH FLOOR, CHICAGO, IL 60603
CHICAGO, IL
Registered with this firm since 8/27/2021

B
NEUBERGER BERMAN BD LLC (CRD#:2908)
190 SOUTH LASALLE STREET 23RD & 24TH & 27TH FLOOR, CHICAGO, IL 60603
CHICAGO, IL
Registered with this firm since 5/5/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/30/2016 - 04/02/2021 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) CHICAGO, IL
B
06/15/2010 - 06/05/2012 PIPER JAFFRAY & CO. (CRD#:665) CHICAGO, IL
B
11/29/2007 - 06/28/2010 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) CHICAGO, IL
B
08/04/2005 - 08/24/2007 WAMU CAPITAL CORP. (CRD#:119069) CHICAGO, IL
B
10/21/2004 - 05/19/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.