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David James Heflin

Neuberger Berman BD LLC

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About David James Heflin

David James Heflin is an investment professional with over 27 years of experience in the financial services industry. David is currently registered with Neuberger Berman BD LLC as a Registered Representative and Investment Advisor Representative. David has held previous roles with FS Investment Solutions, LLC, Goldman Sachs & Co. LLC, Nuveen Investments, LLC, Lincoln Financial Distributors, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds Series 7, 24, 31, and 63 securities licenses and is a Certified Financial Planner.

Firm Information

David Heflin 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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David Heflin’s Registration & Firm History

NY

05/09/2024 - Present

Neuberger Berman BD LLC (NEW YORK NY)

PA

07/16/2019 - 05/06/2024

FS INVESTMENT SOLUTIONS, LLC (PHILADELPHIA PA)

NY

05/16/2005 - 07/30/2019

GOLDMAN SACHS & CO. LLC (NEW YORK NY)

IL

07/08/2004 - 04/22/2005

NUVEEN INVESTMENTS, LLC (CHICAGO IL)

PA

12/31/2000 - 06/22/2004

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

PA

02/20/1997 - 12/31/2000

DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)

NY

04/05/1995 - 11/05/1996

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

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Licenses & Designations

IA

Issued 07/18/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/23/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/01/2001

Series 24 - General Securities Principal Examination

BC

Issued 08/12/2024

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/04/1995

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 David James Heflin.
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