Neuberger Berman Bd Llc
SEC-registered
Broker-Dealer (Dually Registered)
CRD 2908
· SEC file 801-3908
· New York, NY
· www.nb.com
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ADV data as of Mar 27, 2026
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 0
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 1,087
AUM over time
$52.6B
$122B
Dec 2011
Jun 2016
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| P E F Israel Endowment Funds Inc EIN 136104086 | New York, NY | 11/30/2024 |
| World Monuments Fund Inc EIN 132571900 | New York, NY | 06/30/2024 |
| Waco Foundation EIN 746054628 | Waco, TX | 03/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Lorain County Community Action Agency 403(b) Thrif Lorain County Community Action Agency | Lorain, OH | 2024 |
| Electrical Contractors Assoc. Of The City Of Chgo Local Union 134, Ibew Joint Pension Trust Of Chgo Pension Plan #2 Board Of Trustees Of Eca Chicago And Local Union 134 Ibew Pension Plan | 2024 | |
| Council On The Environment, Inc. Incentive Savings Plan Council On The Environment, Inc. | 2024 | |
| Painters And Allied Trades District Council No.35 Annuity Fund Painters Annuity Council No. 35 Annuity Fund | 2024 | |
| United Association National Pension Fund B/O/T United Association National Pension Fund | Alexandria, VA | 2024 |
| Indiana Laborers Pension Fund Board Of Trustees Indiana Laborers Pension Fund | Terre Haute, IN | 2024 |
| Building Trades United Pension Trust Fund Milwaukee And Vicinity Building Trades United Pension Trust Fund | 2024 | |
| Sheet Metal Workers Pension Fund Of Local Union No. 19 Sheet Metal Workers Pension Fund Of Local Union | 2024 | |
| Retirement Security Plan National Rural Electric Cooperative Association | Arlington, VA | 2024 |
| Littler Mendelson 401(k) Plan And Trust Littler Mendelson, P.C. | 2024 | |
| Handstands Promo Retirement Plan Handstands Promo, Llc | 2024 | |
| Trace International Holdings, Inc. Retirement Plan For Salaried Employees Chf Industries, Inc. | 2024 | |
| Cooper Carry Inc Profit Sharing Plan & Trust Cooper Carry Inc | 2024 | |
| Sam Carbis Solutions Group, Llc 401(k) Plan Sam Carbis Solutions Group, Llc | 2024 | |
| Cc Industries And Affiliates Profit Sharing Plan For Salaried Employees Henry Crown And Company S Llc D/B/A Cc Industries, Inc. | 2024 | |
| Les Schwab Profit Sharing Retirement Plan Les Schwab Warehouse Center, Llc | 2024 | |
| Skidmore, Owings & Merrill Llp 401(k) Savings Plan Skidmore, Owings & Merrill Llp | 2024 | |
| I.B.E.W. Local 456 Pension Plan Ibew Joint Pension Fund Local 456 | 2024 | |
| Cna Retirement Plan Continental Casualty Company | 2024 | |
| Hannon Armstrong Capital Llc 401 K Plan Hannon Armstrong Capital Llc | 2024 | |
| Henry Crown And Company Pension Plan Henry Crown & Company S Llc | 2024 | |
| Holtz Companies 401(k) Plan Holtz Builders, Inc. | 2024 | |
| Operating Eng Cons Ind Misc. Pension Fund Bd Of Tr Oper Eng Cons. Industry Miscellaneous Pension Fund | 2024 | |
| Lightcast 401(k) Plan Economic Modeling, Llc | 2024 | |
| Glaziers Local Union No 558 Pension Fund Glaziers Local Union No 558 Pension Fund | Kansas City, MO | 2024 |
| 401(k) Pension Plan National Rural Electric Cooperative Association | Arlington, VA | 2024 |
| Virgin Islands Telephone Corporation Pension Plan For Hourly Employees Dtr Holdings, Llc | 2024 | |
| Tri State Carpenters And Joiners Pension Trust Fund Board Of Trustees Tri State Carpenters And Joiners Pension | 2024 | |
| Retirement Plan For Great Dane Llc Great Dane Llc | Chicago, IL | 2024 |
| Icc Consolidated Pension Plan Dtr Holdings, Llc | 2024 | |
| Construction Industry Laborers Pension Fund Construction Industry Laborers Pension Fund | 2024 | |
| Aramco U.S. Retirement Income Plan Aramco Shared Benefits Company | 2024 | |
| Hsbc North America (U.S.) Pension Plan Hsbc North America Holdings Inc. | 2024 | |
| Snag Holdings. Inc, 401(k) Plan Snag Holdings, Inc. | 2024 |
People (852)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cetron, Brad, Elliot | Chief Compliance Officer, Managing Director | May 2004 (22y) | Less than 5% | |
| Lorin Fred Henton | Senior Vice President, Branch Office Manager, Texas | Sep 2004 (22y) | Less than 5% | |
| Amato, Joseph, Vincent | President, Chief Executive Officer | Jul 2007 (19y) | Less than 5% | |
| Chinni, Michael | Senior Vice President And Chief Financial Officer | Sep 2019 (7y) | Less than 5% | |
| Richard Scott Levine | Registered representative | May 1992 (34y) | ||
| Michael William Kamen | Registered representative | Aug 1995 (31y) | ||
| Seth Joseph Finkel | Registered representative | Feb 1997 (29y) | ||
| Brian Eugene Hahn | Registered representative | Dec 1997 (29y) | ||
| Lisa Huntley Reed | Registered representative | Mar 1999 (27y) | ||
| Joseph Francis Quirk | Registered representative | CFA | Aug 2000 (26y) | |
| Cheri Lynn Brooks | Registered representative | Apr 2001 (25y) | ||
| Brendan Corey Roach | Registered representative | Sep 2001 (25y) | ||
| Christopher Joseph Colmone | Registered representative | Sep 2001 (25y) | ||
| Joseph Walter Jurusz | Registered representative | Jul 2002 (24y) | ||
| Michael Edward Dabulis | Registered representative | Jul 2002 (24y) | ||
| Annmarie Foss | Registered representative | CFP CFA | Jul 2002 (24y) | |
| Cary Alexander Koplin | Registered representative | Jul 2002 (24y) | ||
| Charles Evans Allan | Registered representative | CFA | Jul 2002 (24y) | |
| Cynthia Diana Mcfadden | Registered representative | Jul 2002 (24y) | ||
| Daniel Peter Paduano | Registered representative | Jul 2002 (24y) | ||
| David Sheridan Portny | Registered representative | Jul 2002 (24y) | ||
| Francis Levy Fraenkel | Registered representative | Jul 2002 (24y) | ||
| Frederick Christian Reynolds | Registered representative | CFA | Jul 2002 (24y) | |
| Gerald Paul Kaminsky | Registered representative | Jul 2002 (24y) | ||
| Lida Beth Greenberg | Registered representative | CFA | Jul 2002 (24y) | |
| Lillian Liberman Eisman | Registered representative | Jul 2002 (24y) | ||
| Maria Pappas | Registered representative | Jul 2002 (24y) | ||
| Michael Elliot Cohen | Registered representative | Jul 2002 (24y) | ||
| Michael Jon Kaminsky | Registered representative | Jul 2002 (24y) | ||
| Michael N Emmerman | Registered representative | Jul 2002 (24y) | ||
| Robert William Dalelio | Registered representative | Jul 2002 (24y) | ||
| William John Peterson | Registered representative | Jul 2002 (24y) | ||
| Christopher Alan Lunnie | Registered representative | Jul 2002 (24y) | ||
| John E Terzis | Registered representative | CFA | Jul 2002 (24y) | |
| Judith Mary Vale | Registered representative | Jul 2002 (24y) | ||
| Maria Patricia Yanez | Registered representative | Jul 2002 (24y) | ||
| Marvin Charles Schwartz | Registered representative | Jul 2002 (24y) | ||
| Roberto Guerra | Registered representative | Jul 2002 (24y) | ||
| Stephanie Janis Stiefel | Registered representative | Jul 2002 (24y) | ||
| John Drew Destefano | Registered representative | Jul 2002 (24y) | ||
| David Iver Weiner | Registered representative | Jul 2002 (24y) | ||
| John Joseph Barker | Registered representative | Jul 2002 (24y) | ||
| Richard Sol Nackenson | Registered representative | Sep 2002 (24y) | ||
| Kenneth Yasuyoshi Amano | Registered representative | CFA | Oct 2002 (24y) | |
| Yolanda Rose Turocy | Registered representative | Nov 2002 (24y) | ||
| Brian Michael Case | Registered representative | CFA | Apr 2003 (23y) | |
| Richard John Glasebrook | Registered representative | CFA | Jun 2003 (23y) | |
| Sherrell Jerome Aston | Registered representative | Aug 2003 (23y) | ||
| Peter Theodore Arbes | Registered representative | Mar 2004 (22y) | ||
| Richard James Szelc | Registered representative | Apr 2004 (22y) | ||
| Scott Clifford Woodcock | Registered representative | CFA | May 2004 (22y) | |
| Stephen Gregory Wright | Registered representative | Oct 2004 (22y) | ||
| Jay Erik Walesch | Registered representative | Feb 2005 (21y) | ||
| Laura Joy Sloate | Registered representative | CFA | Mar 2005 (21y) | |
| Vivien Nyampong Mensah | Registered representative | Apr 2005 (21y) | ||
| Sandra Zaki Basta | Registered representative | May 2005 (21y) | ||
| Perry Steven Canaras | Registered representative | May 2005 (21y) | ||
| Jennifer Bari Roth | Registered representative | Jul 2005 (21y) | ||
| David Mallory Ross | Registered representative | Jul 2005 (21y) | ||
| Roger Henry Tulcin | Registered representative | Aug 2005 (21y) | ||
| Jennifer Jung | Registered representative | Aug 2005 (21y) | ||
| Douglas Andrew Rachlin | Registered representative | Oct 2005 (21y) | ||
| Christina Moissiadis | Registered representative | Oct 2005 (21y) | ||
| Mark Daniel Sullivan | Registered representative | Nov 2005 (21y) | ||
| Bradley Curtis Tank | Registered representative | Nov 2005 (21y) | ||
| Diane Gigi Domenici | Registered representative | Nov 2005 (21y) | ||
| Robert J Russo | Registered representative | Jan 2006 (21y) | ||
| Ronald Brian Silvestri | Registered representative | Jan 2006 (21y) | ||
| Hari Srinivasan | Registered representative | Jan 2006 (21y) | ||
| Jason Alan Menzin | Registered representative | Jan 2006 (21y) | ||
| Holly Newman Kroft | Registered representative | Feb 2006 (20y) | ||
| Edward Oldham | Registered representative | Mar 2006 (20y) | ||
| Darren Marc Fogel | Registered representative | Mar 2006 (20y) | ||
| Shawn Robert Ryan | Registered representative | Apr 2006 (20y) | ||
| Andrew Aurelius Johnson | Registered representative | May 2006 (20y) | ||
| Paolo Rocco Frattaroli | Registered representative | Jul 2006 (20y) | ||
| Thuan Tan Tranthien Nguyen | Registered representative | CFA | Sep 2006 (20y) | |
| Jeffrey S Wyll | Registered representative | Sep 2006 (20y) | ||
| Jason Adam Tauber | Registered representative | CFA | Sep 2006 (20y) | |
| Allyson Brooke Horowitz | Registered representative | Oct 2006 (20y) | ||
| Michael Mazza | Registered representative | Nov 2006 (20y) | ||
| John Bayard Glover | Registered representative | Jan 2007 (20y) | ||
| Mary Ellen Herron | Registered representative | Mar 2007 (19y) | ||
| Peter Daniel Scivoletti | Registered representative | Mar 2007 (19y) | ||
| Steven Michael Majocha | Registered representative | CFA | Apr 2007 (19y) | |
| Donna Borgogelli | Registered representative | Apr 2007 (19y) | ||
| Maximiliano Rohm | Registered representative | May 2007 (19y) | ||
| Jeffrey Spencer Fink | Registered representative | Jun 2007 (19y) | ||
| Stephen John Leone | Registered representative | Jul 2007 (19y) | ||
| Caroline Sloan Wishengrad | Registered representative | Aug 2007 (19y) | ||
| Stephen John Casey | Registered representative | CFA | Sep 2007 (19y) | |
| Marc Ari Regenbaum | Registered representative | Oct 2007 (19y) | ||
| Randy Lawrence Gross | Registered representative | Nov 2007 (19y) | ||
| Kevin Barry Clifford | Registered representative | Nov 2007 (19y) | ||
| Susan Tzusui Tu | Registered representative | Feb 2008 (18y) | ||
| Steven Joseph Lieberman | Registered representative | Mar 2008 (18y) | ||
| Tracy Meyer Sendlenski | Registered representative | Mar 2008 (18y) | ||
| Mary Frances Gattuso | Registered representative | Apr 2008 (18y) | ||
| Stuart Nmn Pollak | Registered representative | May 2008 (18y) | ||
| Stephen Blake Miller | Registered representative | Jul 2008 (18y) | ||
| Yolanda Iida Iris Ciarmatori | Registered representative | Aug 2008 (18y) | ||
| Thomas James Anastos | Registered representative | Aug 2008 (18y) | ||
| Carolina Maria Lopez | Registered representative | Aug 2008 (18y) | ||
| Conrad Adrian Saldanha | Registered representative | CFA | Sep 2008 (18y) | |
| Benjamin Brian Perl | Registered representative | Sep 2008 (18y) | ||
| Jacquelyn Angel Tansill | Registered representative | Sep 2008 (18y) | ||
| Paresh C Shah | Registered representative | Sep 2008 (18y) | ||
| Shrinkhala K Basnet | Registered representative | CFA | Sep 2008 (18y) | |
| Brandon Heath Naughton | Registered representative | Sep 2008 (18y) | ||
| Jeannette Toni Donkervoet | Registered representative | Sep 2008 (18y) | ||
| Matthew Patrick Mcginnis | Registered representative | Sep 2008 (18y) | ||
| George Herbert Walker | Registered representative | Sep 2008 (18y) | ||
| Stanley George Lee | Registered representative | CFA | Sep 2008 (18y) | |
| Jared P Mann | Registered representative | CFA | Sep 2008 (18y) | |
| Maureen Alicia Ryan | Registered representative | Oct 2008 (18y) | ||
| Melissa Jeneane Willyard | Registered representative | Oct 2008 (18y) | ||
| Elizabeth Stoxreiter Traxler | Registered representative | Oct 2008 (18y) | ||
| Hakan Kaya | Registered representative | Nov 2008 (18y) | ||
| David Decoste | Registered representative | CFA | Dec 2008 (18y) | |
| Rand William Gesing | Registered representative | Dec 2008 (18y) | ||
| Douglas Brock Williams | Registered representative | CFA | Dec 2008 (18y) | |
| Charlie William Schwartz | Registered representative | Jan 2009 (18y) | ||
| Ian Stewart Haas | Registered representative | CFA | Feb 2009 (17y) | |
| David Hartwell Morse | Registered representative | Feb 2009 (17y) | ||
| Joana Scaff | Registered representative | Feb 2009 (17y) | ||
| Eric Joseph Pelio | Registered representative | Mar 2009 (17y) | ||
| Aisha Haque | Registered representative | Mar 2009 (17y) | ||
| Nancy L Dunn | Registered representative | Mar 2009 (17y) | ||
| Marco Antonio Spinar | Registered representative | Mar 2009 (17y) | ||
| Patricia Miller Zollar | Registered representative | Mar 2009 (17y) | ||
| David Stanley Stonberg | Registered representative | Mar 2009 (17y) | ||
| Anuradha Rajakumar | Registered representative | Mar 2009 (17y) | ||
| Julie Worsham Atwell | Registered representative | May 2009 (17y) | ||
| Peter David Bock | Registered representative | May 2009 (17y) | ||
| Maura Elizabeth Reilly Kennedy | Registered representative | Jun 2009 (17y) | ||
| Michal Piotr Stopa | Registered representative | Jun 2009 (17y) | ||
| Jennifer Lynn Laird | Registered representative | Jul 2009 (17y) | ||
| Ethan A Falkove | Registered representative | Jul 2009 (17y) | ||
| Lee Jeffrey Tawil | Registered representative | CFA | Sep 2009 (17y) | |
| Christen Hope Crim | Registered representative | CFP | Sep 2009 (17y) | |
| Joshua Alan Miller | Registered representative | CFA | Sep 2009 (17y) | |
| Theodore Paul Giuliano | Registered representative | Oct 2009 (17y) | ||
| Brendan Patrick Mcdermott | Registered representative | Nov 2009 (17y) | ||
| Andrew James White | Registered representative | Jan 2010 (17y) | ||
| Ravi K Soni | Registered representative | Jan 2010 (17y) | ||
| Edwin Morel | Registered representative | Feb 2010 (16y) | ||
| Brian Lord | Registered representative | Apr 2010 (16y) | ||
| Gregory Paul Francfort | Registered representative | May 2010 (16y) | ||
| Jenna Sarah Gabriel | Registered representative | May 2010 (16y) | ||
| Stephen John Cowie | Registered representative | Oct 2010 (16y) | ||
| Charles William Conklin | Registered representative | Nov 2010 (16y) | ||
| Wei Zhang | Registered representative | Jan 2011 (16y) | ||
| Eli Mark Salzmann | Registered representative | Feb 2011 (15y) | ||
| Michael Henry Sandow | Registered representative | Feb 2011 (15y) | ||
| Steven Wayne Newler | Registered representative | CFP CFA | Feb 2011 (15y) | |
| Michele Teresa Hoffmann | Registered representative | Mar 2011 (15y) | ||
| Daniel Castro | Registered representative | CFA | Mar 2011 (15y) | |
| Roland Ross David | Registered representative | Jun 2011 (15y) | ||
| Randy Jay Brennan | Registered representative | CFP | Jun 2011 (15y) | |
| Jenna Bonnie Forman | Registered representative | CFP | Jul 2011 (15y) | |
| David Gerson Kupperman | Registered representative | Aug 2011 (15y) | ||
| Gennaro Giovanni Ferrara | Registered representative | Sep 2011 (15y) | ||
| Brett Evan Buchalter | Registered representative | Sep 2011 (15y) | ||
| Jacob Bernard Gamerman | Registered representative | CFA | Sep 2011 (15y) | |
| Asher Pollak | Registered representative | Nov 2011 (15y) | ||
| Karen E Boyne | Registered representative | Dec 2011 (15y) | ||
| Robert Thomas Croke | Registered representative | Dec 2011 (15y) | ||
| Kaci Denise Boyer | Registered representative | Dec 2011 (15y) | ||
| Jose Rolando Garcia | Registered representative | Jan 2012 (15y) | ||
| Matthew Christopher Reisert | Registered representative | Jan 2012 (15y) | ||
| Paul Daniel Daggett | Registered representative | CFA | Jan 2012 (15y) | |
| Seth Andrew Yerk | Registered representative | Jan 2012 (15y) | ||
| Matthew Scott Wiener | Registered representative | Jan 2012 (15y) | ||
| Neil Thomas Frank | Registered representative | CFA | Jan 2012 (15y) | |
| Christopher Randolph Walker | Registered representative | Mar 2012 (14y) | ||
| Tristram Coffin Perkins | Registered representative | Mar 2012 (14y) | ||
| Courtney Maria Perez | Registered representative | CFP | Mar 2012 (14y) | |
| Kevin Michael Mcgrath | Registered representative | CFP | Mar 2012 (14y) | |
| Svetlana Port | Registered representative | Apr 2012 (14y) | ||
| Shawn Michael Trudeau | Registered representative | Apr 2012 (14y) | ||
| Samuel N Porat | Registered representative | May 2012 (14y) | ||
| Michael Joseph Holmberg | Registered representative | May 2012 (14y) | ||
| Patrick Warren Kenefick | Registered representative | May 2012 (14y) | ||
| Peter Jon Von Lehe | Registered representative | May 2012 (14y) | ||
| Gregory Alan Jackson | Registered representative | May 2012 (14y) | ||
| Daniel Eugene Flax | Registered representative | Jun 2012 (14y) | ||
| Meaghan Anne Doyle | Registered representative | Jun 2012 (14y) | ||
| Maria Angela Prainito | Registered representative | Jun 2012 (14y) | ||
| Cheryl Lynn Cannistra | Registered representative | Jun 2012 (14y) | ||
| Brian Gerard Talbot | Registered representative | Jun 2012 (14y) | ||
| Declan Thomas Redfern | Registered representative | Jun 2012 (14y) | ||
| Peter Francis Raith | Registered representative | Jul 2012 (14y) | ||
| Amy Michelle Tucker | Registered representative | Jul 2012 (14y) | ||
| Richard New Bradt | Registered representative | Jul 2012 (14y) | ||
| Scott Edward Kilgallen | Registered representative | Jul 2012 (14y) | ||
| Lok Ching Tsang | Registered representative | CFA | Jul 2012 (14y) | |
| Craig Everett Calderon | Registered representative | Aug 2012 (14y) | ||
| Peter Gregory Donofrio | Registered representative | Aug 2012 (14y) | ||
| Andrew Heath Silverstein | Registered representative | CFP | Aug 2012 (14y) | |
| Amy Catherine Kraynak | Registered representative | Aug 2012 (14y) | ||
| John Datus Abendroth | Registered representative | CFA | Sep 2012 (14y) | |
| Robert Charles Summers | Registered representative | CFA | Sep 2012 (14y) | |
| Stephen Joseph Flaherty | Registered representative | CFA | Sep 2012 (14y) | |
| Jonathan D Shofet | Registered representative | Sep 2012 (14y) | ||
| Michael Scott Kramer | Registered representative | Sep 2012 (14y) | ||
| Robert Thomas Gephardt | Registered representative | CFA | Sep 2012 (14y) | |
| Jeffrey Adam Majit | Registered representative | CFA | Sep 2012 (14y) | |
| Frank E Bisk | Registered representative | Oct 2012 (14y) | ||
| Brandon Thomas Mulroe | Registered representative | Oct 2012 (14y) | ||
| Dmitry Gasinsky | Registered representative | CFA | Oct 2012 (14y) | |
| Mark John Menapace | Registered representative | CFA | Oct 2012 (14y) | |
| David Lee | Registered representative | Oct 2012 (14y) | ||
| Jeffrey William Hunn | Registered representative | Nov 2012 (14y) | ||
| David Michael Brown | Registered representative | CFA | Nov 2012 (14y) | |
| Marc Miles Kramer | Registered representative | Nov 2012 (14y) | ||
| Steven Michael Albanesi | Registered representative | Nov 2012 (14y) | ||
| Christopher John Kocinski | Registered representative | CFA | Nov 2012 (14y) | |
| Steven Richard Ruh | Registered representative | CFA | Nov 2012 (14y) | |
| Athanassios Bardas | Registered representative | Dec 2012 (14y) | ||
| Michael James Rupp | Registered representative | Dec 2012 (14y) | ||
| Jay Berger | Registered representative | CFA | Dec 2012 (14y) | |
| Nathan Barnard Kush | Registered representative | Dec 2012 (14y) | ||
| Timothy Jay Biemer | Registered representative | Dec 2012 (14y) | ||
| Michael John Foster | Registered representative | Dec 2012 (14y) | ||
| Thomas Sean Collins | Registered representative | Dec 2012 (14y) | ||
| Joseph Paul Lynch | Registered representative | Jan 2013 (14y) | ||
| Peter Moukios | Registered representative | Jan 2013 (14y) | ||
| James Lloyd Iselin | Registered representative | Jan 2013 (14y) | ||
| Kristian James Lind | Registered representative | Jan 2013 (14y) | ||
| Olumide Owolabi | Registered representative | Jan 2013 (14y) | ||
| Marc Ernst Edmond | Registered representative | Jan 2013 (14y) | ||
| Anthony David Tutrone Ii | Registered representative | Jan 2013 (14y) | ||
| Jason Wayne Smith | Registered representative | Feb 2013 (13y) | ||
| Lauren Barkley Rahaghi | Registered representative | Feb 2013 (13y) | ||
| Dominique Cabaup Drenckhahn | Registered representative | Feb 2013 (13y) | ||
| Amy Beth Norflus | Registered representative | Apr 2013 (13y) | ||
| Steven Hsieh | Registered representative | Apr 2013 (13y) | ||
| Gregory Charles Magnuson | Registered representative | CFA | Apr 2013 (13y) | |
| Rawle Anson Skeete | Registered representative | May 2013 (13y) | ||
| Melissa Marie Wyble | Registered representative | May 2013 (13y) | ||
| Yi Wan | Registered representative | Jun 2013 (13y) | ||
| James Joseph Gartland | Registered representative | Jul 2013 (13y) | ||
| Jose Patricio Hernandez | Registered representative | Jul 2013 (13y) | ||
| Jennifer Reitler Gorgoll | Registered representative | CFA | Jul 2013 (13y) | |
| Brett James Masarky | Registered representative | Aug 2013 (13y) | ||
| David Gary Mizrachi | Registered representative | Aug 2013 (13y) | ||
| Mindy Schwartzapfel | Registered representative | Aug 2013 (13y) | ||
| Shinjini Mukherji | Registered representative | Aug 2013 (13y) | ||
| William Bartlett Proctor | Registered representative | Aug 2013 (13y) | ||
| Jared A Feeney | Registered representative | CFA | Oct 2013 (13y) | |
| Gorky Ramiro Urquieta | Registered representative | Dec 2013 (13y) | ||
| James Douglas Manor | Registered representative | Dec 2013 (13y) | ||
| Jason Hancock Vintiadis | Registered representative | Dec 2013 (13y) | ||
| Richard Hugh Wesolowski | Registered representative | CFP CFA | Dec 2013 (13y) | |
| Todd Douglas Brauer | Registered representative | Mar 2014 (12y) | ||
| Thomas Richard Mcdonough | Registered representative | Apr 2014 (12y) | ||
| Christopher Matthew Crevier | Registered representative | May 2014 (12y) | ||
| Christopher Louis Caruso | Registered representative | CFP | Jun 2014 (12y) | |
| Rose Tarantino Galluzzo | Registered representative | Jun 2014 (12y) | ||
| Susan Beverly Kasser | Registered representative | CFA | Jun 2014 (12y) | |
| John Randall Whitehead | Registered representative | CFA | Jul 2014 (12y) | |
| Ashley Elizabeth Carr | Registered representative | Jul 2014 (12y) | ||
| Charles Austin Murphy | Registered representative | CFA | Aug 2014 (12y) | |
| Scott Anthony Hoina | Registered representative | CFA | Aug 2014 (12y) | |
| Joan Gaudioso | Registered representative | CFA | Aug 2014 (12y) | |
| Jessica Christine Rando | Registered representative | Sep 2014 (12y) | ||
| John Paul San Marco | Registered representative | CFA | Sep 2014 (12y) | |
| Erik Leif Knutzen | Registered representative | CFA | Oct 2014 (12y) | |
| Jordan Melissa Lichtenberg | Registered representative | Oct 2014 (12y) | ||
| Alessandro R Hamada | Registered representative | Nov 2014 (12y) | ||
| Michelle Lauren Rappa | Registered representative | Nov 2014 (12y) | ||
| Meredith Taylor | Registered representative | Jan 2015 (12y) | ||
| Kelly Elizabeth Weber | Registered representative | CFA | Feb 2015 (11y) | |
| Kelly Michael Mcmahon | Registered representative | Feb 2015 (11y) | ||
| Sonja Nuhic | Registered representative | Feb 2015 (11y) | ||
| Kai Liu | Registered representative | Feb 2015 (11y) | ||
| Alison Leigh Mills | Registered representative | Mar 2015 (11y) | ||
| Matthew Francis Bird | Registered representative | Mar 2015 (11y) | ||
| Paul G Leonardi | Registered representative | Mar 2015 (11y) | ||
| Francesco Antonio Guglielmo | Registered representative | Apr 2015 (11y) | ||
| Diana Chan | Registered representative | Apr 2015 (11y) | ||
| John Joseph Carr | Registered representative | Apr 2015 (11y) | ||
| Gregory Glenn Spiegel | Registered representative | May 2015 (11y) | ||
| Parrish James Smith | Registered representative | May 2015 (11y) | ||
| Langston Mather Theis | Registered representative | Jun 2015 (11y) | ||
| Jeffrey Witman Grubbs | Registered representative | Jun 2015 (11y) | ||
| Ralph Anthony De Feo | Registered representative | Jun 2015 (11y) | ||
| Mark Alan Pottle | Registered representative | Jun 2015 (11y) | ||
| Owen Martin Concannon | Registered representative | CFA | Jul 2015 (11y) | |
| Arleny Quezada | Registered representative | Jul 2015 (11y) | ||
| Melissa Ann Morris | Registered representative | Aug 2015 (11y) | ||
| Michael Tyler Czinege | Registered representative | Aug 2015 (11y) | ||
| Michael R Smith | Registered representative | Sep 2015 (11y) | ||
| Anna Maria Varvaro | Registered representative | Oct 2015 (11y) | ||
| Matthew Ives Maloney | Registered representative | Oct 2015 (11y) | ||
| John Joseph Hirt | Registered representative | Oct 2015 (11y) | ||
| Darren Lee Carter | Registered representative | Oct 2015 (11y) | ||
| Michael James Keegan | Registered representative | Nov 2015 (11y) | ||
| Trevor Lee Moreno | Registered representative | CFA | Jan 2016 (11y) | |
| Pim Van Schie | Registered representative | Jan 2016 (11y) | ||
| Derek R Devens | Registered representative | CFA | Feb 2016 (10y) | |
| Gabriel Jacob Cahill | Registered representative | CFA | Mar 2016 (10y) | |
| Adam Joseph Howaniec | Registered representative | Apr 2016 (10y) | ||
| Matthew Moore Tollison | Registered representative | Apr 2016 (10y) | ||
| Robert Brettle Ewing | Registered representative | Apr 2016 (10y) | ||
| Sultan Saif Khan | Registered representative | CFA | Apr 2016 (10y) | |
| Taylor Lawrence Glasebrook | Registered representative | May 2016 (10y) | ||
| Sean Michael Badcock | Registered representative | CFA | Jun 2016 (10y) | |
| Alexander Edward Gottlieb | Registered representative | Jun 2016 (10y) | ||
| Amanda Leigh Hobin | Registered representative | Jul 2016 (10y) | ||
| Jonathan Noss Adolph | Registered representative | Aug 2016 (10y) | ||
| Jean Paul Sursock | Registered representative | Sep 2016 (10y) | ||
| Rebecca Anne Lohse | Registered representative | Sep 2016 (10y) | ||
| Andrew Tyler Greene | Registered representative | Oct 2016 (10y) | ||
| Jeffrey Kim | Registered representative | Oct 2016 (10y) | ||
| Rachel Marie Young | Registered representative | Oct 2016 (10y) | ||
| Vitor Cepelowicz | Registered representative | Nov 2016 (10y) | ||
| Benjamin Alexander Green | Registered representative | CFP | Nov 2016 (10y) | |
| Kenneth John Marino | Registered representative | Nov 2016 (10y) | ||
| Jenna Marie Chacon | Registered representative | Nov 2016 (10y) | ||
| Paul Raskin | Registered representative | CFA | Dec 2016 (10y) | |
| Timothy Heejin Kim | Registered representative | CFP | Dec 2016 (10y) | |
| Eric Zhou | Registered representative | Dec 2016 (10y) | ||
| Patrick Daniel Bane | Registered representative | Jan 2017 (10y) | ||
| David John Lyon | Registered representative | Jan 2017 (10y) | ||
| Cristina Maria O'neill | Registered representative | Feb 2017 (9y) | ||
| Thomas Joseph Sobanski | Registered representative | CFA | Feb 2017 (9y) | |
| Jonathan Simon Shahrabani | Registered representative | Feb 2017 (9y) | ||
| Vinayak Kakodkar | Registered representative | Feb 2017 (9y) | ||
| Ernest Gyasi | Registered representative | Feb 2017 (9y) | ||
| Jeffrey Donald Hopper | Registered representative | Mar 2017 (9y) | ||
| Yanbo Li | Registered representative | CFA | Mar 2017 (9y) | |
| Karman Tong | Registered representative | Apr 2017 (9y) | ||
| Libby Louise Barlow | Registered representative | May 2017 (9y) | ||
| David Frederick Elkhatib | Registered representative | May 2017 (9y) | ||
| Stephen Graham Smith | Registered representative | CFA | Jun 2017 (9y) | |
| Tully Sun Cheng | Registered representative | CFA | Jun 2017 (9y) | |
| Andrew Arbesman | Registered representative | CFA | Jul 2017 (9y) | |
| Mc Coy Nanwei Jen | Registered representative | CFA | Aug 2017 (9y) | |
| Alfredo Gibran Reyes | Registered representative | Aug 2017 (9y) | ||
| Richard Andrew Veitch | Registered representative | CFA | Aug 2017 (9y) | |
| Mohammad Waheed | Registered representative | Sep 2017 (9y) | ||
| Joshua A Bronstein | Registered representative | CFA | Sep 2017 (9y) | |
| Tyler G Gile | Registered representative | CFA | Oct 2017 (9y) | |
| Marcie L Blanco | Registered representative | Oct 2017 (9y) | ||
| Melanie Catherine Hilbush | Registered representative | CFA | Nov 2017 (9y) | |
| Scott Lawrence Koenig | Registered representative | Nov 2017 (9y) | ||
| Jason Michael Weiner | Registered representative | CFP | Nov 2017 (9y) | |
| Frank Ryan Aurichio | Registered representative | Nov 2017 (9y) | ||
| Joseph M Mc Kenna | Registered representative | Dec 2017 (9y) | ||
| Jonathan Henry Bailey | Registered representative | CFA | Dec 2017 (9y) | |
| Christopher James Bokosky | Registered representative | CFA | Dec 2017 (9y) | |
| Lesley Danielle Nurse | Registered representative | CFA | Jan 2018 (9y) | |
| Zain Naqi | Registered representative | Jan 2018 (9y) | ||
| Zachary Joseph Schroeder | Registered representative | CFA | Jan 2018 (9y) | |
| Beryl Lou | Registered representative | Jan 2018 (9y) | ||
| Walter Jaques Clough | Registered representative | CFA | Feb 2018 (8y) | |
| Raman Gambhir | Registered representative | Mar 2018 (8y) | ||
| Andrew Joseph Pritti | Registered representative | CFA | Mar 2018 (8y) | |
| Jennifer Noh Signori | Registered representative | Apr 2018 (8y) | ||
| Ashok Kumar Bhatia | Registered representative | CFA | Apr 2018 (8y) | |
| Garrick Harrison Hull | Registered representative | Apr 2018 (8y) | ||
| Jason Patrick Goldberg | Registered representative | Apr 2018 (8y) | ||
| Robert Troy | Registered representative | May 2018 (8y) | ||
| Christopher M Miller | Registered representative | May 2018 (8y) | ||
| Edward Alaric James | Registered representative | Jun 2018 (8y) | ||
| Peter Matthew Sterling | Registered representative | Jul 2018 (8y) | ||
| Stephen A Zacny | Registered representative | CFA | Jul 2018 (8y) | |
| Christopher Robert Jennings | Registered representative | CFA | Jul 2018 (8y) | |
| Alexandre Jean Jacques Snappe | Registered representative | Aug 2018 (8y) | ||
| David Waugh | Registered representative | Aug 2018 (8y) | ||
| Evgeny Dunaevsky | Registered representative | CFA | Sep 2018 (8y) | |
| Jordan P White | Registered representative | Sep 2018 (8y) | ||
| Simon David Griffiths | Registered representative | CFA | Sep 2018 (8y) | |
| Christopher Vail Kramer | Registered representative | Sep 2018 (8y) | ||
| Marianne Sarah Bates | Registered representative | Oct 2018 (8y) | ||
| Raymond Bernard Carroll | Registered representative | Oct 2018 (8y) | ||
| Elias Jon Cohen | Registered representative | CFA | Nov 2018 (8y) | |
| David Michael Levine | Registered representative | CFA | Nov 2018 (8y) | |
| Joseph Walter Lind | Registered representative | CFA | Nov 2018 (8y) | |
| Timothy Francis Creedon | Registered representative | CFA | Nov 2018 (8y) | |
| Ryan Daniel Mayer | Registered representative | Nov 2018 (8y) | ||
| Christopher Robert Ziemba | Registered representative | Dec 2018 (8y) | ||
| Frank Maeba | Registered representative | Dec 2018 (8y) | ||
| Cedric Drui | Registered representative | CFA | Dec 2018 (8y) | |
| Hee Jung Ryoo | Registered representative | CFA | Dec 2018 (8y) | |
| Joseph Thomas Purtell | Registered representative | CFA | Dec 2018 (8y) | |
| Henry Constantine Elder | Registered representative | CFA | Jan 2019 (8y) | |
| Jacqueline Anna Regan | Registered representative | Jan 2019 (8y) | ||
| Yazhong Wang | Registered representative | CFA | Feb 2019 (7y) | |
| Patrick Hovanec Lovett | Registered representative | Feb 2019 (7y) | ||
| Peter John Di Fiore | Registered representative | Mar 2019 (7y) | ||
| Arup Das | Registered representative | Mar 2019 (7y) | ||
| Laura Ann Toppozini | Registered representative | Mar 2019 (7y) | ||
| Gideon Ilan Schapiro | Registered representative | CFA | Mar 2019 (7y) | |
| Farshad Mashayekhi | Registered representative | Mar 2019 (7y) | ||
| James Eugene Long | Registered representative | Apr 2019 (7y) | ||
| Nicholas Driscoll | Registered representative | Apr 2019 (7y) | ||
| John Sullivan | Registered representative | Apr 2019 (7y) | ||
| Michelle Lynn Sarmiento | Registered representative | Apr 2019 (7y) | ||
| Jonathan Michael Freedman | Registered representative | CFA | Apr 2019 (7y) | |
| Ryan Michael Yetman | Registered representative | Apr 2019 (7y) | ||
| Kaitlyn Elizabeth Felicetti | Registered representative | Apr 2019 (7y) | ||
| Michelle Ann Giordano Valentine | Registered representative | Apr 2019 (7y) | ||
| William Edward Rykowski | Registered representative | Apr 2019 (7y) | ||
| Madeleine Jean Caliento | Registered representative | May 2019 (7y) | ||
| Patrick Scorzelli | Registered representative | CFA | May 2019 (7y) | |
| Michael Colin Schwartz | Registered representative | May 2019 (7y) | ||
| Issary Miguelina Alba | Registered representative | May 2019 (7y) | ||
| Timothy Henry Ryan | Registered representative | May 2019 (7y) | ||
| Dylan Kojola | Registered representative | Jun 2019 (7y) | ||
| Stephanie Birrell Luedke | Registered representative | CFA | Jun 2019 (7y) | |
| Michael George Hattrup | Registered representative | Jul 2019 (7y) | ||
| Eric Lai | Registered representative | Jul 2019 (7y) | ||
| Adam W Grotzinger | Registered representative | CFA | Aug 2019 (7y) | |
| Titanya Watters | Registered representative | Sep 2019 (7y) | ||
| Anne Faris Brennan | Registered representative | CFA | Sep 2019 (7y) | |
| Joseph A Rotter | Registered representative | Sep 2019 (7y) | ||
| Evelyn Diane Chow | Registered representative | Oct 2019 (7y) | ||
| John Francis Ryan | Registered representative | Nov 2019 (7y) | ||
| Nickie Wan Hsin Yue | Registered representative | Nov 2019 (7y) | ||
| Seth Tolev | Registered representative | CFA | Nov 2019 (7y) | |
| Hariharan Ramanan | Registered representative | Dec 2019 (7y) | ||
| James Alden Saddlemire | Registered representative | CFA | Dec 2019 (7y) | |
| Sergio Cortina Ketterer | Registered representative | Dec 2019 (7y) | ||
| Irina Babushkina | Registered representative | Jan 2020 (7y) | ||
| Kyle Matthew O'hara | Registered representative | Jan 2020 (7y) | ||
| Nikhil A Krishnan | Registered representative | Jan 2020 (7y) | ||
| Sarah Elisabeth Moore Smalley | Registered representative | Feb 2020 (6y) | ||
| Johan Kim | Registered representative | CFA | Feb 2020 (6y) | |
| Rachel Marie White | Registered representative | CFA | Feb 2020 (6y) | |
| Vincent Anthony Alibrandi | Registered representative | Mar 2020 (6y) | ||
| Colleen Moira Herron | Registered representative | CFA | Mar 2020 (6y) | |
| Brandee Kay Hewett Shumway | Registered representative | Mar 2020 (6y) | ||
| Jacob Max Mc Kean | Registered representative | Mar 2020 (6y) | ||
| Sabrina Ann Carrelli | Registered representative | Apr 2020 (6y) | ||
| Sean X Harnett | Registered representative | Apr 2020 (6y) | ||
| Jennifer Raye Blachford | Registered representative | Jun 2020 (6y) | ||
| Anthony William Di Salvo | Registered representative | CFA | Jun 2020 (6y) | |
| Gabriel J Feghali | Registered representative | CFA | Jun 2020 (6y) | |
| Sean Matthew Jeffers | Registered representative | Jun 2020 (6y) | ||
| Dylan Hong | Registered representative | Jul 2020 (6y) | ||
| Albert Xinan Hu | Registered representative | Jul 2020 (6y) | ||
| Boryana Dimitrova Karastoyanova | Registered representative | Aug 2020 (6y) | ||
| Spencer Reiter | Registered representative | Aug 2020 (6y) | ||
| Ryan F. D'souza | Registered representative | Sep 2020 (6y) | ||
| Maarten Leonard Nederlof | Registered representative | Sep 2020 (6y) | ||
| Jeffrey Clark | Registered representative | Sep 2020 (6y) | ||
| Ryan Patrick O Keefe | Registered representative | Oct 2020 (6y) | ||
| Colin Merritt Foley | Registered representative | Oct 2020 (6y) | ||
| Madeline Katherine Wick | Registered representative | Oct 2020 (6y) | ||
| Wendy Eng Chin | Registered representative | CFP | Oct 2020 (6y) | |
| Courtney Kelly O Brien | Registered representative | Oct 2020 (6y) | ||
| Nicholas James Cianciaruso | Registered representative | Oct 2020 (6y) | ||
| Matthew Marshall | Registered representative | Nov 2020 (6y) | ||
| David K Haltiner | Registered representative | Nov 2020 (6y) | ||
| Samuel James Orkney | Registered representative | Nov 2020 (6y) | ||
| Josh Kelly Overbay | Registered representative | Nov 2020 (6y) | ||
| James Richard Burke | Registered representative | Nov 2020 (6y) | ||
| Justin J Hakimian | Registered representative | Nov 2020 (6y) | ||
| Jason Greenstein | Registered representative | Dec 2020 (6y) | ||
| Qiushuhao Fu | Registered representative | Dec 2020 (6y) | ||
| Robert Harvey Wiegand | Registered representative | Dec 2020 (6y) | ||
| Jiawei Wei | Registered representative | Dec 2020 (6y) | ||
| Joseph Schurer | Registered representative | Jan 2021 (6y) | ||
| James Anthony Acey Van Brunt | Registered representative | Jan 2021 (6y) | ||
| Jiaxin Yin | Registered representative | Jan 2021 (6y) | ||
| Yurou Zhang | Registered representative | Jan 2021 (6y) | ||
| Jody Ann Quirk | Registered representative | Jan 2021 (6y) | ||
| Thomas Patrick Hogan | Registered representative | CFA | Jan 2021 (6y) | |
| Matthew William Kaplan | Registered representative | Feb 2021 (5y) | ||
| Chad Wayne Toriello | Registered representative | Feb 2021 (5y) | ||
| David Pike Aloian | Registered representative | Mar 2021 (5y) | ||
| Amon R Wilkes | Registered representative | Mar 2021 (5y) | ||
| Brooke Johnson | Registered representative | Mar 2021 (5y) | ||
| Robert Dean Dishner | Registered representative | Mar 2021 (5y) | ||
| Daniel Gerard Hart | Registered representative | Mar 2021 (5y) | ||
| Haik Aram Kevorkian | Registered representative | Mar 2021 (5y) | ||
| Kristin E Cejda | Registered representative | Mar 2021 (5y) | ||
| Mitsuhiro Shimura | Registered representative | Mar 2021 (5y) | ||
| Evan Barlow | Registered representative | Apr 2021 (5y) | ||
| Michael Cameron King | Registered representative | Apr 2021 (5y) | ||
| Henry Thomas Clark | Registered representative | Apr 2021 (5y) | ||
| Tatiana Novozhilova | Registered representative | CFP | May 2021 (5y) | |
| Michael Scott Jacoby | Registered representative | May 2021 (5y) | ||
| Jose Andres Pluto | Registered representative | CFA | Jun 2021 (5y) | |
| Keri Ann Nuzzi | Registered representative | CFA | Jun 2021 (5y) | |
| Andrew Taylor Hillis | Registered representative | Jun 2021 (5y) | ||
| Sebastian Edward Ruder Sanchez | Registered representative | Jun 2021 (5y) | ||
| Timothy Michael Morrison | Registered representative | Jun 2021 (5y) | ||
| Camelia Picardi Hegarty | Registered representative | Jun 2021 (5y) | ||
| Laurel A Nelson | Registered representative | Jul 2021 (5y) | ||
| Benjamin Raanan Strulowitz | Registered representative | Jul 2021 (5y) | ||
| Alicia Danielle Kennedy | Registered representative | Jul 2021 (5y) | ||
| Spencer Alex Ross | Registered representative | CFA | Aug 2021 (5y) | |
| Jerry Bryce Hanley | Registered representative | Aug 2021 (5y) | ||
| Spencer Brad Kostrinsky | Registered representative | Aug 2021 (5y) | ||
| Valerie Ann O'connor | Registered representative | Aug 2021 (5y) | ||
| Sean Conlon Lynch | Registered representative | Sep 2021 (5y) | ||
| David Moreau Smith | Registered representative | Sep 2021 (5y) | ||
| Yona Rom | Registered representative | CFA | Sep 2021 (5y) | |
| Anthony Francis Bisio | Registered representative | Oct 2021 (5y) | ||
| Robert S Surgent | Registered representative | Oct 2021 (5y) | ||
| Lisa Liu Tutass | Registered representative | Nov 2021 (5y) | ||
| Fatima Sabirin Ali | Registered representative | Nov 2021 (5y) | ||
| Fernando Eugenio Soto Herrera | Registered representative | Nov 2021 (5y) | ||
| Lara Caroline Graham | Registered representative | Nov 2021 (5y) | ||
| Annika Carolyn Bovair Jaques | Registered representative | Nov 2021 (5y) | ||
| Luis Fernando Castro Lozano | Registered representative | Dec 2021 (5y) | ||
| Alex Maryanski | Registered representative | Dec 2021 (5y) | ||
| Robert K Ward | Registered representative | Dec 2021 (5y) | ||
| Khym Alexi Daniellia Fawcett Ellis | Registered representative | Jan 2022 (5y) | ||
| Robert William Vatter | Registered representative | CFA | Jan 2022 (5y) | |
| Andrew Hurowitz | Registered representative | Jan 2022 (5y) | ||
| Olga Deperio Floresca | Registered representative | Jan 2022 (5y) | ||
| Lori A Cuneo | Registered representative | Jan 2022 (5y) | ||
| Savannah Joy Theodora Annika Irving | Registered representative | Jan 2022 (5y) | ||
| Marc Stuart Mazur | Registered representative | Feb 2022 (4y) | ||
| Timothy Casimer Crane | Registered representative | CFA | Feb 2022 (4y) | |
| Jacob Asbjornson | Registered representative | Feb 2022 (4y) | ||
| Philip Wai Ming Lee | Registered representative | CFA | Feb 2022 (4y) | |
| Samantha M Hoagland | Registered representative | Feb 2022 (4y) | ||
| Sojin Kang | Registered representative | Mar 2022 (4y) | ||
| Lacey Dawn Johnson | Registered representative | CFP | Mar 2022 (4y) | |
| Jason Michael Bernier | Registered representative | Mar 2022 (4y) | ||
| Jacob William Greene | Registered representative | Mar 2022 (4y) | ||
| Jonathan Thomas Munch | Registered representative | Mar 2022 (4y) | ||
| Giovannipaolo M Urbanucci | Registered representative | CFA | Apr 2022 (4y) | |
| Kirsten Adair Harrington | Registered representative | Apr 2022 (4y) | ||
| Adam Joseph Trivison | Registered representative | CFA | Apr 2022 (4y) | |
| Carlos Enrique Torres Aranda | Registered representative | CFA | Apr 2022 (4y) | |
| Joseph Clayton Yastrub | Registered representative | Apr 2022 (4y) | ||
| James Conrad Graeber | Registered representative | CFA | Apr 2022 (4y) | |
| Matthew Tyler Romeo | Registered representative | Apr 2022 (4y) | ||
| Ryan Matthew Schultz | Registered representative | CFA | Apr 2022 (4y) | |
| Noelle Davies | Registered representative | May 2022 (4y) | ||
| Jonathan Tippman Dunn | Registered representative | May 2022 (4y) | ||
| Allison Leah Shenoy | Registered representative | May 2022 (4y) | ||
| Carrie B. Draper | Registered representative | Jun 2022 (4y) | ||
| Pei Li | Registered representative | Jun 2022 (4y) | ||
| Sarah Kumar | Registered representative | Jun 2022 (4y) | ||
| Bonnie Goldsborough Stanfield | Registered representative | CFA | Jun 2022 (4y) | |
| Xavier Peoples | Registered representative | Jun 2022 (4y) | ||
| Alyssa Anne Reardon | Registered representative | Jun 2022 (4y) | ||
| Jon Jerrild | Registered representative | Jun 2022 (4y) | ||
| Jamie Rebecca Zakalik | Registered representative | Jun 2022 (4y) | ||
| Brent Christopher Mc Guire | Registered representative | Jul 2022 (4y) | ||
| Monika M Reusch | Registered representative | Jul 2022 (4y) | ||
| Linyu Peng | Registered representative | Jul 2022 (4y) | ||
| Daniela Sirabella | Registered representative | Jul 2022 (4y) | ||
| Archena Alagappan | Registered representative | Jul 2022 (4y) | ||
| Julia W Fowler | Registered representative | Jul 2022 (4y) | ||
| Harrison Smith | Registered representative | Aug 2022 (4y) | ||
| Jake Tripucka | Registered representative | Aug 2022 (4y) | ||
| Judith Ann Licerio | Registered representative | Aug 2022 (4y) | ||
| Madeline C Cary | Registered representative | Aug 2022 (4y) | ||
| Trevor Hallas | Registered representative | Aug 2022 (4y) | ||
| Yiran Wang | Registered representative | CFA | Aug 2022 (4y) | |
| Richard Gabriele | Registered representative | Aug 2022 (4y) | ||
| Mitchell Kenneth Booth | Registered representative | Aug 2022 (4y) | ||
| Richard Lipman | Registered representative | Aug 2022 (4y) | ||
| Ran Bi | Registered representative | Aug 2022 (4y) | ||
| Thomas Kevin Doherty | Registered representative | Aug 2022 (4y) | ||
| Caitlin A Mc Sherry White | Registered representative | Aug 2022 (4y) | ||
| Bernard Alexander Rawlins | Registered representative | Aug 2022 (4y) | ||
| Megan Cosgrove | Registered representative | Sep 2022 (4y) | ||
| Peter Louis Taets | Registered representative | Sep 2022 (4y) | ||
| Joseph Thomas Haag | Registered representative | CFA | Sep 2022 (4y) | |
| Todd Tamagnini | Registered representative | CFA | Sep 2022 (4y) | |
| Nicole Wilcox Tullo | Registered representative | Sep 2022 (4y) | ||
| Ryan Scott Brewer | Registered representative | CFA | Oct 2022 (4y) | |
| Michael Joseph Anderson | Registered representative | CFA | Oct 2022 (4y) | |
| Robert Scardilli | Registered representative | Oct 2022 (4y) | ||
| Jayanth Surapaneni | Registered representative | Oct 2022 (4y) | ||
| Tina Marie Reyes | Registered representative | Nov 2022 (4y) | ||
| Elina Shalumova | Registered representative | Nov 2022 (4y) | ||
| Jack Burdick | Registered representative | Nov 2022 (4y) | ||
| Daniela Fonseca | Registered representative | Nov 2022 (4y) | ||
| Tyler J Roth | Registered representative | Nov 2022 (4y) | ||
| Amanda Rose Bruno | Registered representative | Nov 2022 (4y) | ||
| Colleen Elizabeth Calpin | Registered representative | Nov 2022 (4y) | ||
| Grace Liang | Registered representative | Dec 2022 (4y) | ||
| Louay Mikdashi | Registered representative | Dec 2022 (4y) | ||
| Briana Shae Martin | Registered representative | Dec 2022 (4y) | ||
| Larysa Frankiv | Registered representative | Dec 2022 (4y) | ||
| Yanchang Xu | Registered representative | Dec 2022 (4y) | ||
| Austin R Glickstern | Registered representative | Dec 2022 (4y) | ||
| Benjamin Albert Bazan | Registered representative | Dec 2022 (4y) | ||
| Garrett Hinshaw | Registered representative | Dec 2022 (4y) | ||
| Ryan Joseph Schneider | Registered representative | Dec 2022 (4y) | ||
| Anthony Michael Liberti | Registered representative | CFA | Jan 2023 (4y) | |
| Renos George Savvides | Registered representative | Jan 2023 (4y) | ||
| Kenneth Michael Beierlein | Registered representative | Jan 2023 (4y) | ||
| Kyle Thomas De Vries | Registered representative | Jan 2023 (4y) | ||
| Paul Vincent Martinez | Registered representative | Mar 2023 (3y) | ||
| Daniel Partner Hanson | Registered representative | CFA | Mar 2023 (3y) | |
| Kriti Verma | Registered representative | Apr 2023 (3y) | ||
| John L Obrien | Registered representative | Apr 2023 (3y) | ||
| Stephen Mccarten | Registered representative | Apr 2023 (3y) | ||
| Choong Bin Charles Lim | Registered representative | Apr 2023 (3y) | ||
| Gregory Hohmann | Registered representative | May 2023 (3y) | ||
| Kyle Michael Trombley | Registered representative | May 2023 (3y) | ||
| Shannon Leigh Saccocia | Registered representative | CFA | May 2023 (3y) | |
| Justin William Rivera | Registered representative | May 2023 (3y) | ||
| Christopher Michael Haas | Registered representative | May 2023 (3y) | ||
| Denish Patel | Registered representative | CFA | May 2023 (3y) | |
| Taylor Rose Nesnay | Registered representative | May 2023 (3y) | ||
| Samuel Luk | Registered representative | May 2023 (3y) | ||
| Giannina Allison Tiu Sy | Registered representative | May 2023 (3y) | ||
| Casey Frederick Ciaston | Registered representative | May 2023 (3y) | ||
| Nia Sara Silgardo | Registered representative | May 2023 (3y) | ||
| Hasan Arshad Soleja | Registered representative | CFA | Jun 2023 (3y) | |
| Chaitanya Gohil | Registered representative | Jun 2023 (3y) | ||
| Erbor Kulla | Registered representative | Jun 2023 (3y) | ||
| Amy Liu | Registered representative | Jul 2023 (3y) | ||
| Cole Patrick Considine | Registered representative | Jul 2023 (3y) | ||
| Christopher Steven Bredahl | Registered representative | Jul 2023 (3y) | ||
| Zhengyang Su | Registered representative | Aug 2023 (3y) | ||
| Daseul Kim | Registered representative | Aug 2023 (3y) | ||
| John Michael Mc Carthy | Registered representative | CFA | Aug 2023 (3y) | |
| Eileen Furukawa | Registered representative | Aug 2023 (3y) | ||
| Victoria Elizabeth Blundin | Registered representative | Aug 2023 (3y) | ||
| Andrew Lenard Rosen | Registered representative | CFA | Aug 2023 (3y) | |
| Arlene C Brogan Wiznitzer | Registered representative | Sep 2023 (3y) | ||
| Mariana Jimenez | Registered representative | Sep 2023 (3y) | ||
| Maryam Magied Akbaryar | Registered representative | Sep 2023 (3y) | ||
| Erik Clark | Registered representative | Sep 2023 (3y) | ||
| Charles Matthew Devereux | Registered representative | Sep 2023 (3y) | ||
| Astrid Diana Weiss | Registered representative | Sep 2023 (3y) | ||
| Monica Juwita | Registered representative | Oct 2023 (3y) | ||
| Amr Hanafy | Registered representative | CFA | Oct 2023 (3y) | |
| Saul Ellison | Registered representative | Oct 2023 (3y) | ||
| Zhengyuan Lu | Registered representative | Nov 2023 (3y) | ||
| Kailin Huang | Registered representative | Dec 2023 (3y) | ||
| Courtney Look | Registered representative | Dec 2023 (3y) | ||
| Bernadette Cordero Benson | Registered representative | Dec 2023 (3y) | ||
| Zackarias Valavanis | Registered representative | Dec 2023 (3y) | ||
| Frank George Latorraca | Registered representative | Dec 2023 (3y) | ||
| Ty Black | Registered representative | Dec 2023 (3y) | ||
| Lauren Navarro Crane | Registered representative | Dec 2023 (3y) | ||
| Christopher W Thomas | Registered representative | Dec 2023 (3y) | ||
| Davis Stephen Parks | Registered representative | Jan 2024 (3y) | ||
| Janelle A Mejia | Registered representative | Feb 2024 (2y) | ||
| Daniel Jack Ransenberg | Registered representative | Feb 2024 (2y) | ||
| Philip Joseph Zielke | Registered representative | Feb 2024 (2y) | ||
| Justin Eric Bardman | Registered representative | Mar 2024 (2y) | ||
| Emily Bond | Registered representative | Mar 2024 (2y) | ||
| Vinay Rao | Registered representative | Mar 2024 (2y) | ||
| Arelyss Eblohoue | Registered representative | Mar 2024 (2y) | ||
| Bowen Song | Registered representative | Mar 2024 (2y) | ||
| Dara Morgan Yudd | Registered representative | Mar 2024 (2y) | ||
| Hannah Temiloluwa Adeoye | Registered representative | Mar 2024 (2y) | ||
| Robert James Graff | Registered representative | CFA | Mar 2024 (2y) | |
| Yilun Li | Registered representative | Apr 2024 (2y) | ||
| Alison Dexter Renvyle | Registered representative | CFP | Apr 2024 (2y) | |
| David James Heflin | Registered representative | CFP | May 2024 (2y) | |
| Lauren Madsen | Registered representative | May 2024 (2y) | ||
| Fuad Mazen Youssef | Registered representative | May 2024 (2y) | ||
| Kevin Jen Ho Chiu | Registered representative | May 2024 (2y) | ||
| Ainsley Sara Hochman | Registered representative | May 2024 (2y) | ||
| Lindsay Myfanwy Coronal Clark | Registered representative | Jun 2024 (2y) | ||
| Michael S Legieza | Registered representative | Jun 2024 (2y) | ||
| Yuqi Jiao | Registered representative | Jun 2024 (2y) | ||
| Megan Anna Konfino | Registered representative | Jun 2024 (2y) | ||
| Amina Zainab Razzaq | Registered representative | Jun 2024 (2y) | ||
| John Carl Gibbons | Registered representative | Jul 2024 (2y) | ||
| Christopher John Collins | Registered representative | CFA | Aug 2024 (2y) | |
| Tomokazu Oba | Registered representative | CFA | Aug 2024 (2y) | |
| Kevin Michael Feijo | Registered representative | Aug 2024 (2y) | ||
| Bharti Bhargava | Registered representative | Aug 2024 (2y) | ||
| Jeffrey Alan Blazek | Registered representative | CFA | Sep 2024 (2y) | |
| Qufei Rao | Registered representative | Sep 2024 (2y) | ||
| Roger James Trinwith | Registered representative | CFA | Oct 2024 (2y) | |
| Olivia De Cain | Registered representative | Oct 2024 (2y) | ||
| Charles Anthony Adonizio | Registered representative | Oct 2024 (2y) | ||
| Curtis Anthony Goldsmith | Registered representative | Oct 2024 (2y) | ||
| Kenneth Meinsen | Registered representative | Oct 2024 (2y) | ||
| Paveena Bhugra | Registered representative | Nov 2024 (2y) | ||
| Gordon David Zimmermann | Registered representative | Nov 2024 (2y) | ||
| Jamie Baron | Registered representative | Nov 2024 (2y) | ||
| Patrick Krueger | Registered representative | Nov 2024 (2y) | ||
| Sophia Leigh Konstantinou | Registered representative | Nov 2024 (2y) | ||
| Christopher Michael Foci | Registered representative | Nov 2024 (2y) | ||
| Philip Bertram Hayden | Registered representative | CFA | Dec 2024 (2y) | |
| Raphael Mettle | Registered representative | Dec 2024 (2y) | ||
| Himchan Ko | Registered representative | Dec 2024 (2y) | ||
| Thomas Allen Bush | Registered representative | Dec 2024 (2y) | ||
| Yuki Erdogan | Registered representative | Dec 2024 (2y) | ||
| Sarah Strope | Registered representative | Dec 2024 (2y) | ||
| Aditi Paulchowdhury | Registered representative | Jan 2025 (2y) | ||
| Marcel Sallis | Registered representative | Jan 2025 (2y) | ||
| Eric Daniel Higger | Registered representative | CFP | Jan 2025 (2y) | |
| Olivia De Nicola | Registered representative | Jan 2025 (2y) | ||
| Andrea M Rosenbaum | Registered representative | Jan 2025 (2y) | ||
| Blake Francis Bisciotti | Registered representative | Jan 2025 (2y) | ||
| Cole Kretlow | Registered representative | Jan 2025 (2y) | ||
| William Hunt | Registered representative | CFA | Jan 2025 (2y) | |
| Marianne Cheng Hui Lim | Registered representative | Feb 2025 (1y) | ||
| Zayd Addassi | Registered representative | Feb 2025 (1y) | ||
| John Fraser Doubleday | Registered representative | CFA | Feb 2025 (1y) | |
| Stone Fenton | Registered representative | Feb 2025 (1y) | ||
| Tokufumi Kato | Registered representative | Feb 2025 (1y) | ||
| Cameron Emmott | Registered representative | Mar 2025 (1y) | ||
| Kevin Thomas Considine | Registered representative | CFA | Mar 2025 (1y) | |
| Hassan Anis | Registered representative | Mar 2025 (1y) | ||
| Kevin Golub | Registered representative | Mar 2025 (1y) | ||
| Lindsey Joanne Cwik | Registered representative | Mar 2025 (1y) | ||
| Jordan Brandt | Registered representative | Mar 2025 (1y) | ||
| Blaine Woszczak | Registered representative | Apr 2025 (1y) | ||
| Dylan Pape | Registered representative | Apr 2025 (1y) | ||
| Sophia Rose Gammarino | Registered representative | Apr 2025 (1y) | ||
| Arjun Amladi | Registered representative | Apr 2025 (1y) | ||
| Michael Christopher King | Registered representative | Apr 2025 (1y) | ||
| Christine Lynda Laible | Registered representative | Apr 2025 (1y) | ||
| Samuel Franklin | Registered representative | Apr 2025 (1y) | ||
| Jack Bertram Mulham | Registered representative | Apr 2025 (1y) | ||
| Amanda Hotchkiss | Registered representative | CFA | Apr 2025 (1y) | |
| Danielle Delprato | Registered representative | May 2025 (1y) | ||
| Brandon White | Registered representative | May 2025 (1y) | ||
| Anji Ines Li Zhao | Registered representative | Jun 2025 (1y) | ||
| Guido De Filippo | Registered representative | Jun 2025 (1y) | ||
| Katherine Louise Thomas | Registered representative | Jun 2025 (1y) | ||
| Daniel Rosone | Registered representative | CFA | Jun 2025 (1y) | |
| Kyle Chelo | Registered representative | Jun 2025 (1y) | ||
| Inderjit Singh | Registered representative | Jun 2025 (1y) | ||
| John Madey | Registered representative | Jun 2025 (1y) | ||
| Alan Saul Bernstein | Registered representative | Jun 2025 (1y) | ||
| Arthur Khaykin | Registered representative | CFA | Jun 2025 (1y) | |
| Claiborne Burke Sanders | Registered representative | Jul 2025 (1y) | ||
| Ethan Sam Shoulberg | Registered representative | Jul 2025 (1y) | ||
| Isabel Judith Maria | Registered representative | Jul 2025 (1y) | ||
| Adam Rabinowitz | Registered representative | Jul 2025 (1y) | ||
| Luke George Sulam | Registered representative | Jul 2025 (1y) | ||
| Aidan Christopher Cain | Registered representative | Aug 2025 (1y) | ||
| Chad Alan Schroeder | Registered representative | Aug 2025 (1y) | ||
| Caroline Liftman | Registered representative | Aug 2025 (1y) | ||
| Jacqueline Tyagi | Registered representative | Aug 2025 (1y) | ||
| Ogden Timpson | Registered representative | Aug 2025 (1y) | ||
| Kylie Stevens | Registered representative | Aug 2025 (1y) | ||
| Joy Adalberto Alvarez Razon | Registered representative | Aug 2025 (1y) | ||
| Maximilian Robert Fernandez | Registered representative | Aug 2025 (1y) | ||
| Rushant Sanathara | Registered representative | Aug 2025 (1y) | ||
| Mary Adele Johnson | Registered representative | Sep 2025 (1y) | ||
| Andrew Joseph Desind | Registered representative | Sep 2025 (1y) | ||
| Taylor Howard | Registered representative | Sep 2025 (1y) | ||
| Henry Merritt Popko | Registered representative | Sep 2025 (1y) | ||
| James Maki | Registered representative | Sep 2025 (1y) | ||
| Michael Chuankai Pan | Registered representative | Sep 2025 (1y) | ||
| Jonathan K Ong | Registered representative | Sep 2025 (1y) | ||
| Theodore Robert Giandana | Registered representative | Sep 2025 (1y) | ||
| Christian Zachery Reinauer | Registered representative | CFA | Sep 2025 (1y) | |
| Jarod Sutherland | Registered representative | Sep 2025 (1y) | ||
| Sarah Graney | Registered representative | Sep 2025 (1y) | ||
| Klaudia Maria Czarnocka | Registered representative | Sep 2025 (1y) | ||
| Keith Harrison | Registered representative | Sep 2025 (1y) | ||
| Paige Elizabeth Richards | Registered representative | Sep 2025 (1y) | ||
| Ryan Perri | Registered representative | Sep 2025 (1y) | ||
| Justin Moi | Registered representative | Oct 2025 (1y) | ||
| Brent Finck | Registered representative | CFA | Oct 2025 (1y) | |
| John R Ayers | Registered representative | CFA | Oct 2025 (1y) | |
| Helen Mahoney | Registered representative | Oct 2025 (1y) | ||
| Nicolas Martinez Cruces | Registered representative | Oct 2025 (1y) | ||
| Sydney Grissom | Registered representative | Oct 2025 (1y) | ||
| Shrey Jain | Registered representative | Oct 2025 (1y) | ||
| Samantha Marie Carey | Registered representative | Oct 2025 (1y) | ||
| Trey Marcello Blazik | Registered representative | Oct 2025 (1y) | ||
| Kendall Renee Marthaler | Registered representative | Oct 2025 (1y) | ||
| Sean Hinze | Registered representative | Oct 2025 (1y) | ||
| Charlotte Sippel | Registered representative | Oct 2025 (1y) | ||
| David Charles Stanislav | Registered representative | Oct 2025 (1y) | ||
| Wesley Winslow Wickens | Registered representative | Nov 2025 (1y) | ||
| Sophia Bridget Spallone | Registered representative | Nov 2025 (1y) | ||
| Henry George Gartner | Registered representative | Nov 2025 (1y) | ||
| Madison Grace Markham | Registered representative | Nov 2025 (1y) | ||
| Connor Patrick Maguire | Registered representative | Nov 2025 (1y) | ||
| Elly Marlene Goedeke | Registered representative | Nov 2025 (1y) | ||
| Gabriella Elizabeth Cryan | Registered representative | Nov 2025 (1y) | ||
| Samuel Thai Richardson | Registered representative | Nov 2025 (1y) | ||
| David Richard Latour | Registered representative | Nov 2025 (1y) | ||
| Thomas Patrick Monks | Registered representative | Nov 2025 (1y) | ||
| Kenneth Gerard Rende | Registered representative | Nov 2025 (1y) | ||
| Owen Coleman Madden | Registered representative | Dec 2025 (1y) | ||
| Brian Berenato | Registered representative | Dec 2025 (1y) | ||
| Paul Stawarz | Registered representative | Dec 2025 (1y) | ||
| Ryan Poul Wilson | Registered representative | CFA | Dec 2025 (1y) | |
| Peter James Claro | Registered representative | Dec 2025 (1y) | ||
| Toyaj Singh | Registered representative | Dec 2025 (1y) | ||
| Blair Heather Collins | Registered representative | Dec 2025 (1y) | ||
| Matthew Wyman | Registered representative | Dec 2025 (1y) | ||
| Carolina Mary Andruss | Registered representative | Dec 2025 (1y) | ||
| Kevin Michael Farshchi | Registered representative | Jan 2026 (1y) | ||
| Theresa Ann Gibbons | Registered representative | Jan 2026 (1y) | ||
| Varun Surapaneni | Registered representative | Jan 2026 (1y) | ||
| Kenneth Troy Evans | Registered representative | Jan 2026 (1y) | ||
| Farah Sofea Binti Azmi | Registered representative | Jan 2026 (1y) | ||
| Ryan Tice | Registered representative | Jan 2026 (1y) | ||
| Daniel Belmont | Registered representative | Jan 2026 (1y) | ||
| Daniel Bailey | Registered representative | Jan 2026 (1y) | ||
| John C Wilson | Registered representative | CFA | Jan 2026 (1y) | |
| Nicholas John Cristiano | Registered representative | Jan 2026 (1y) | ||
| William Robert Mandl | Registered representative | Jan 2026 (1y) | ||
| Bella Sivan Sullivan | Registered representative | Feb 2026 (0y) | ||
| Charles Sebastian Terris | Registered representative | Feb 2026 (0y) | ||
| Michael Joseph Conway | Registered representative | Feb 2026 (0y) | ||
| Patrick Carbone | Registered representative | Feb 2026 (0y) | ||
| Phillip Paul Dantoin | Registered representative | Feb 2026 (0y) | ||
| Thomas Joseph Aldridge | Registered representative | Feb 2026 (0y) | ||
| Timothy Ryan Odonovan | Registered representative | Feb 2026 (0y) | ||
| Matthew Greiner | Registered representative | Feb 2026 (0y) | ||
| Travis Doran Werling | Registered representative | Feb 2026 (0y) | ||
| Carter Walters | Registered representative | Feb 2026 (0y) | ||
| Bryan Cheung | Registered representative | Feb 2026 (0y) | ||
| Cally Rose Tullo | Registered representative | Mar 2026 (0y) | ||
| Christopher Adam Shabo | Registered representative | Mar 2026 (0y) | ||
| Sunjay Manglani | Registered representative | Mar 2026 (0y) | ||
| Robert Todd Fischer | Registered representative | Mar 2026 (0y) | ||
| Robert William Bettin | Registered representative | Mar 2026 (0y) | ||
| Jack Regan Malone | Registered representative | Mar 2026 (0y) | ||
| Michael Dean Graveline | Registered representative | Mar 2026 (0y) | ||
| Nisheet Patel | Registered representative | Mar 2026 (0y) | ||
| James O'neill Duffy | Registered representative | Mar 2026 (0y) | ||
| Jonathan Gauntt | Registered representative | Apr 2026 (0y) | ||
| Andrew Chipman | Registered representative | Apr 2026 (0y) | ||
| Benjamin James Colter | Registered representative | Apr 2026 (0y) | ||
| Trey Michael Zgombic | Registered representative | Apr 2026 (0y) | ||
| Dillan Patrick Jones | Registered representative | Apr 2026 (0y) | ||
| Margaret Anne Davis | Registered representative | Apr 2026 (0y) | ||
| Amanda Rigge | Registered representative | Apr 2026 (0y) | ||
| Jennifer Elizabeth Colby Oliver | Registered representative | Apr 2026 (0y) | ||
| Jordan P Mark | Registered representative | May 2026 (0y) | ||
| Braden Smith | Registered representative | CFA | May 2026 (0y) | |
| Ashley Blanco | Registered representative | May 2026 (0y) | ||
| Steven Richard Meier | Registered representative | May 2026 (0y) | ||
| Robert Tornatore | Registered representative | May 2026 (0y) | ||
| Brendan J Popson | Registered representative | Jun 2026 (0y) | ||
| Jarod Dalton Godwin | Registered representative | Jun 2026 (0y) | ||
| Jenna Mackenzie Egan | Registered representative | CFP | Jun 2026 (0y) | |
| Grace Quattrucci | Registered representative | Jun 2026 (0y) | ||
| Brandy Sun | Registered representative | Jun 2026 (0y) | ||
| Gary Wunderlich | Registered representative | Jun 2026 (0y) | ||
| Man Ho Tai | Registered representative | Jun 2026 (0y) | ||
| Leslie Bruce | Registered representative | Jun 2026 (0y) | ||
| Brian Joseph Jones | Registered representative | Jun 2026 (0y) | ||
| Carolyn Fuwa Policinski | Registered representative | Jun 2026 (0y) | ||
| Gregory Mc Gowan | Registered representative | Jun 2026 (0y) | ||
| Mark Lauerman | Registered representative | Jun 2026 (0y) | ||
| Wesley Dixon | Registered representative | Jun 2026 (0y) | ||
| Scott Turro | Registered representative | Jul 2026 (0y) | ||
| Andrew Bestwick | Registered representative | Jul 2026 (0y) | ||
| Shannon Mcloughlin | Registered representative | Jul 2026 (0y) | ||
| Christian Alexander St. Vil | Registered representative | Jul 2026 (0y) | ||
| Michael Hart | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Neuberger Berman Investment Advisers Llc | Member | Jan 2016 | A | 75% or more |
| Neuberger Berman Group Llc | Holding Company | Feb 2009 | B | ≈ 42.19% – 100% via Neuberger Berman Investment Advisers Holdings Llc |
| Nbsh Acquisition, Llc | Member | May 2009 | B | ≈ 31.64% – 100% via Neuberger Berman Group Llc |
| Neuberger Berman Investment Advisers Holdings Llc | Member | Jan 2016 | B | ≈ 56.25% – 100% via Neuberger Berman Investment Advisers Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Neuberger Berman Group Llc: 75% – 100% of Neuberger Berman Investment Advisers Holdings Llc × 75% – 100% of Neuberger Berman Investment Advisers Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Nbsh Acquisition, Llc: 75% – 100% of Neuberger Berman Group Llc × 75% – 100% of Neuberger Berman Investment Advisers Holdings Llc × 75% – 100% of Neuberger Berman Investment Advisers Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Neuberger Berman Investment Advisers Holdings Llc: 75% – 100% of Neuberger Berman Investment Advisers Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (34)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Lorain County Community Action Agency 403(b) Thrif | Lorain County Community Action Agency | 301 | $4.0M | 08/01/2024 |
| Electrical Contractors Assoc. Of The City Of Chgo Local Union 134, Ibew Joint Pension Trust Of Chgo Pension Plan #2 | Board Of Trustees Of Eca Chicago And Local Union 134 Ibew Pension Plan | 7,099 | $2.7B | 07/01/2024 |
| Council On The Environment, Inc. Incentive Savings Plan | Council On The Environment, Inc. | 103 | $4.2M | 07/01/2024 |
| Painters And Allied Trades District Council No.35 Annuity Fund | Painters Annuity Council No. 35 Annuity Fund | 2,820 | $527M | 07/01/2024 |
| United Association National Pension Fund | B/O/T United Association National Pension Fund | 93,165 | $7.7B | 07/01/2024 |
| Indiana Laborers Pension Fund | Board Of Trustees Indiana Laborers Pension Fund | 11,260 | $1.8B | 06/01/2024 |
| Building Trades United Pension Trust Fund Milwaukee And Vicinity | Building Trades United Pension Trust Fund | 9,922 | $3.5B | 06/01/2024 |
| Sheet Metal Workers Pension Fund Of Local Union No. 19 | Sheet Metal Workers Pension Fund Of Local Union | 1,833 | $519M | 05/01/2024 |
| Retirement Security Plan | National Rural Electric Cooperative Association | 56,128 | $11.5B | 01/01/2024 |
| Littler Mendelson 401(k) Plan And Trust | Littler Mendelson, P.C. | 2,298 | $1.1B | 01/01/2024 |
| Handstands Promo Retirement Plan | Handstands Promo, Llc | 107 | $3.5M | 01/01/2024 |
| Trace International Holdings, Inc. Retirement Plan For Salaried Employees | Chf Industries, Inc. | 0 | $4.7M | 01/01/2024 |
| Cooper Carry Inc Profit Sharing Plan & Trust | Cooper Carry Inc | 90 | $10.1M | 01/01/2024 |
| Sam Carbis Solutions Group, Llc 401(k) Plan | Sam Carbis Solutions Group, Llc | 145 | $9.6M | 01/01/2024 |
| Cc Industries And Affiliates Profit Sharing Plan For Salaried Employees | Henry Crown And Company S Llc D/B/A Cc Industries, Inc. | 316 | $214M | 01/01/2024 |
| Les Schwab Profit Sharing Retirement Plan | Les Schwab Warehouse Center, Llc | 6,051 | $865M | 01/01/2024 |
| Skidmore, Owings & Merrill Llp 401(k) Savings Plan | Skidmore, Owings & Merrill Llp | 837 | $286M | 01/01/2024 |
| I.B.E.W. Local 456 Pension Plan | Ibew Joint Pension Fund Local 456 | 712 | $302M | 01/01/2024 |
| Cna Retirement Plan | Continental Casualty Company | 367 | $849M | 01/01/2024 |
| Hannon Armstrong Capital Llc 401 K Plan | Hannon Armstrong Capital Llc | 158 | $34.5M | 01/01/2024 |
| Henry Crown And Company Pension Plan | Henry Crown & Company S Llc | 302 | $159M | 01/01/2024 |
| Holtz Companies 401(k) Plan | Holtz Builders, Inc. | 168 | $2.4M | 01/01/2024 |
| Operating Eng Cons Ind Misc. Pension Fund | Bd Of Tr Oper Eng Cons. Industry Miscellaneous Pension Fund | 3,934 | $846M | 01/01/2024 |
| Lightcast 401(k) Plan | Economic Modeling, Llc | 330 | $21.8M | 01/01/2024 |
| Glaziers Local Union No 558 Pension Fund | Glaziers Local Union No 558 Pension Fund | 334 | $47.1M | 01/01/2024 |
Top 25 of 34 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (3)
| Organization | Type | Assets | As of |
|---|---|---|---|
| P E F Israel Endowment Funds Inc | Public charity | $209M | 11/30/2024 |
| World Monuments Fund Inc | Public charity | $79.9M | 06/30/2024 |
| Waco Foundation | Public charity | $142M | 03/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.57 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Oct 02, 2024
Allegations: THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN ONE GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. Status: On Appeal Sanction Detail: AS NOTED IN 9 ABOVE, THIS MATTER HAS BEEN APPEALED TO THE BAFIN. Summary: NBSH FILED AN APPEAL TO THE BAFIN ON AUGUST 29, 2024 STATING THAT A SINGLE LATE SHAREHOLDER NOTIFICATION REPORTING A SMALL REDUCTION IN POSITION SIZE WAS DUE TO A CLERICAL ERROR AND THAT THE FIRM HAS SINCE ENHANCED ITS SYSTEMS TO PREVENT FUTURE OCCURRENCES. THE APPEAL REMAINS PENDING.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗