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Anne Faris Brennan

Neuberger Berman BD LLC

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About Anne Faris Brennan

Anne Brennan is a financial advisor with over 25 years of experience. Anne has worked with various firms including Goldman, Sachs & Co. and Neuberger Berman. Anne has also earned the Chartered Financial Analyst designation. Anne Brennan is currently registered with Neuberger Berman BD LLC and offers financial advice to individuals and institutions.

Firm Information

Anne Brennan is currently registered with Neuberger Berman BD LLC. Neuberger Berman BD LLC is a Limited Liability Company formed in November 1996. The firm is headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have a team of 1,880 investment advisor representatives and registered representatives. The firm specializes in providing investment advisory services to a variety of clients, including high-net-worth individuals, corporations, and institutions.
Neuberger Berman BD LLC

1290 AVENUE OF THE AMERICAS

NEW YORK, NY 10104

Not reported

Assets Under Management

Not reported

Total Clients

924

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Anne Brennan’s Registration & Firm History

NY

03/12/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

09/20/1993 - 05/26/2016

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/12/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 11/01/2005

Series 23 - General Securities Principal Sales Supervisor

BC

Issued 11/20/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/13/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/26/2016

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 06/07/1994

Series 3 - National Commodity Futures Examination

BC

Issued 09/17/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Anne Faris Brennan.
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