CRD #2908 · FINRA BrokerCheck + SEC IAPD

Neuberger Berman BD LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Neuberger Berman BD LLC ranks #241 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #38 of 868 on the same disclosure sort used on the state browse page. Neuberger Berman BD LLC carries 25 BrokerCheck disclosures across 783 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
783
branch offices
25
disclosures
#241 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2908 Neuberger Berman BD LLC

Neuberger Berman BD LLC · Grade B · 25 disc · 0.03/office · Large firm

  • CRD 2908
  • GRADE B
  • DISC 25
  • REG 20
  • ARB 5
  • CIV 0
  • BRANCH 783
  • PER-OFF 0.03
  • RANK #241 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: First Command Brokerage Services, Inc. (0.03 disc/office)

First Command Brokerage…0.03Lifemark Securities Corp.0.03Vanderbilt Securities, LLC0.03Neuberger Berman BD… (this)0.03
Disclosures per office among large firm peers (lower is cleaner)

Neuberger Berman BD LLC ranks #241 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

783 offices

FINRA: Large firm

Total disclosures

25 events

On FINRA BrokerCheck

Regulatory events

20 actions

80% of all disclosures

Disclosures per office

0.03 per office

25 ÷ 783 offices

Neuberger Berman BD LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 20
Arbitrations 5
Civil Events 0
Total 25

Counts for Neuberger Berman BD LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 20 Arbitration 5 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10104
Formed
11/01/1996
State of Formation
Delaware
CRD Number
2908
SEC Number
1068

Lower disclosures per office

Neuberger Berman BD LLC in the heavier-disclosure third

Neuberger Berman BD LLC carries 25 BrokerCheck disclosures across 783 branch offices - a heavier-third raw book among graded firms (#241 of 20,055). Regulator-initiated events are 80% of the book (20 regulatory / 5 arbitration / 0 civil).

Neuberger Berman BD LLC runs 0.03 disclosures per branch office (cleaner than 94% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Neuberger Berman BD LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 2.86× state average

Neuberger Berman BD LLC sits above the New York disclosure average

Neuberger Berman BD LLC reports 25 BrokerCheck disclosures, 2.86× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Neuberger Berman BD LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Neuberger Berman BD LLC ranks #241 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #38 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Neuberger Berman BD LLC?
A grade of B reflects Neuberger Berman BD LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 25 total disclosures across 783 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Neuberger Berman BD LLC have?
Neuberger Berman BD LLC has 25 total FINRA disclosures, including 20 regulatory events, 5 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Neuberger Berman BD LLC?
Neuberger Berman BD LLC operates 783 branch offices and is classified by FINRA as a large firm, registered in NY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Neuberger Berman BD LLC's disciplinary record?
You can verify Neuberger Berman BD LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2908. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Neuberger Berman BD LLC's 25 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Neuberger Berman BD LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Neuberger Berman BD LLC carries 25 disclosures across 783 branch offices (about 0.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Neuberger Berman BD LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.