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John L Obrien

Neuberger Berman BD LLC

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About John L Obrien

John L Obrien is an investment advisor representative at Neuberger Berman BD LLC. John L Obrien has been in the financial services industry for over 11 years. Before joining Neuberger Berman BD LLC, John L Obrien was employed by NEUBERGER BERMAN LLC. John L Obrien has passed the Series 63, Series 65, and Series 66 exams. John L Obrien is also registered to sell securities in New Jersey and New York.

Firm Information

John Obrien 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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John Obrien’s Registration & Firm History

NY

04/17/2023 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

03/24/2015 - 01/10/2017

NEUBERGER BERMAN LLC (NEW YORK NY)

NY

12/08/2011 - 04/01/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/27/2022

Series 66 - Uniform Combined State Law Examination

IA

Issued 05/21/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/28/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/14/2023

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/2023

Series 7TO - General Securities Representative Examination

BC

Issued 04/28/2012

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 03/17/2012

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/07/2011

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 John L Obrien.
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