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Marianne Sarah Bates
MARIANNE BATES
CRD#: 6079376
IA
Investment Adviser
B
Broker
NEUBERGER BERMAN BD LLCCRD#: 2908 190 SOUTH LASALLE STREET
23RD & 24TH & 27TH FLOOR
CHICAGO, IL 60603
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

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Illinois 10/3/2018

B
New York 10/3/2018

IA
Illinois 10/3/2018

IA
New York 3/25/2021

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 10/3/2018

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 5/14/2018

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B
Broker
IA
Investment Adviser
Disclosures
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