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Carlos Miguel Batista gutierrez

Neuberger Berman BD LLC

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About Carlos Miguel Batista gutierrez

Carlos Batista gutierrez is a registered investment advisor representative with Neuberger Berman BD LLC. Carlos has been in the financial services industry for over 4 years, working in various roles at firms like Fidelity Brokerage Services LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carlos holds the Series 63, Series 66, and Series 24 licenses. Carlos is licensed in 53 states and the District of Columbia. Carlos is also registered as an Investment Advisor Representative in New York.

Firm Information

Carlos Batista gutierrez 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

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percentage of assets

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

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Carlos Batista gutierrez’s Registration & Firm History

NY

02/24/2023 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

03/09/2022 - 09/26/2022

FIDELITY BROKERAGE SERVICES LLC (GARDEN CITY NY)

NY

11/17/2021 - 12/20/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

11/19/2018 - 03/03/2021

J.P. MORGAN SECURITIES LLC (JACKSON HEIGHTS NY)

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Licenses & Designations

BOTH

Issued 02/24/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/30/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/20/2023

Series 24 - General Securities Principal Examination

BC

Issued 11/19/2021

Series 7TO - General Securities Representative Examination

BC

Issued 11/19/2018

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/02/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carlos Miguel Batista gutierrez.
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