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Cary Alexander Koplin

Neuberger Berman BD LLC

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About Cary Alexander Koplin

Cary Alexander Koplin is an investment advisor representative at Neuberger Berman BD LLC. Cary has been working in the financial services industry since May 7, 1967. Cary is registered with FINRA as a registered representative and has been a registered investment advisor since 2002. Cary holds Series 4, 7, 40, 63, 65 and SIE licenses and is licensed to provide investment advice in 47 states.

Firm Information

Cary Koplin 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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Cary Koplin’s Registration & Firm History

NY

03/22/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

03/21/1972 - 05/01/2000

SCHRODER & CO. INC. (NEW YORK NY)

NA

03/14/1967 - 01/25/1972

WERTHEIM & CO.

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Licenses & Designations

IA

Issued 09/20/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/31/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/13/1977

Series 4 - Registered Options Principal Examination

BC

Issued 05/31/1973

Series 40 - Registered Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/1977

PC - AMEX Put and Call Exam

BC

Issued 03/13/1967

Series 1 - Registered 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 Cary Alexander Koplin.
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