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Ethan A Falkove

Neuberger Berman BD LLC

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About Ethan A Falkove

Ethan Falkove is a registered investment advisor representative with Neuberger Berman BD LLC, with offices in New York, NY and Syosset, NY. Ethan Falkove joined Neuberger Berman, LLC in September 2008 and has over 24 years of experience in the financial services industry. Prior to joining Neuberger Berman, LLC, Ethan Falkove was employed by Lehman Brothers Inc., Deutsche Bank Securities Inc. and DB Alex. Brown LLC.

Firm Information

Ethan Falkove 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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Ethan Falkove’s Registration & Firm History

NY

03/29/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

01/20/2005 - 09/24/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

01/13/2001 - 07/17/2002

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

09/01/1995 - 01/13/2001

DB ALEX. BROWN LLC (BALTIMORE MD)

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Licenses & Designations

BOTH

Issued 05/13/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/02/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/21/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/31/1995

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 Ethan A Falkove.
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