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Charles William Conklin

Neuberger Berman BD LLC

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About Charles William Conklin

Charles William Conklin is a registered investment advisor with Neuberger Berman BD LLC. Charles has been in the industry since 2006 and has a wide range of experience, including working with various investment firms such as Olympia Asset Management, LTD., Chase Investment Services Corp. and First Investors Corporation. Charles holds the following licenses and certifications: Series 6, Series 7, Series 31, Series 63, and Series 65. Charles is also a registered investment advisor in New Jersey and New York.

Firm Information

Charles Conklin 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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Charles Conklin’s Registration & Firm History

NY

03/25/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

06/25/2010 - 08/30/2010

OLYMPIA ASSET MANAGEMENT,LTD. (NEW YORK NY)

NJ

10/15/2008 - 05/04/2010

CHASE INVESTMENT SERVICES CORP. (RAMSEY NJ)

NY

05/22/2006 - 09/15/2008

FIRST INVESTORS CORPORATION (NEWBURGH NY)

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Licenses & Designations

IA

Issued 11/11/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/02/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2018

Series 31 - Futures Managed Funds Examination

BC

Issued 06/24/2010

Series 7 - General Securities Representative Examination

BC

Issued 05/19/2006

Series 6 - Investment Company Products/Variable Contracts 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 Charles William Conklin.
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