Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Thomas is an active investment advisor representative and registered representative associated with Neuberger Berman BD LLC. Christopher Thomas has been in the securities industry since 2002. Christopher Thomas is registered in New York. Previously Christopher Thomas was associated with DeaM Investor Services, Inc., ABN AMRO Incorporated, J.P. Morgan Securities Inc., Chase Investment Services Corp., Brown & Company Securities Corporation, and The J.B. Sutton Group, LLC. Christopher Thomas has passed the Series 7, Series 63, Series 7TO, SIE and Series 24 exams. Christopher Thomas currently works in the New York office of Neuberger Berman BD LLC.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
12/22/2023 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
04/20/2007 - 12/22/2010
DEAM INVESTOR SERVICES, INC. (NEW YORK NY)
NY
02/28/2006 - 03/20/2007
ABN AMRO INCORPORATED (NEW YORK NY)
NY
12/15/2004 - 03/08/2006
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
03/12/2002 - 07/06/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MA
02/02/1999 - 06/01/2001
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NY
01/15/1998 - 05/15/1998
THE J.B. SUTTON GROUP, LLC (MELVILLE NY)
BOTH
Issued 12/21/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2024
Series 24 - General Securities Principal Examination
BC
Issued 03/27/2023
Series 7TO - General Securities Representative Examination
BC
Issued 12/13/2021
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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