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Matthew Holian Malloy

Neuberger Berman BD LLC

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About Matthew Holian Malloy

Matthew Malloy is a financial professional with over 25 years of experience in the industry. Matthew has a diverse background, having worked at prominent firms such as Goldman, Sachs & Co., Merrill Lynch, UBS Securities LLC, and J.P. Morgan Institutional Investments Inc. Currently, Matthew is registered with Neuberger Berman BD LLC. Matthew holds the Series 3, 7, 24, and 63 licenses, as well as the SIE exam. Matthew is registered in 24 states and holds a FINRA registration.

Firm Information

Matthew Malloy 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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Matthew Malloy’s Registration & Firm History

NY

10/09/2015 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

11/09/2010 - 08/25/2015

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)

NY

06/30/2008 - 10/28/2010

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

07/07/2003 - 05/21/2008

UBS SECURITIES LLC (NEW YORK NY)

NY

03/24/1998 - 06/17/2003

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

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Licenses & Designations

BC

Issued 09/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/26/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/05/2010

Series 3 - National Commodity Futures Examination

BC

Issued 09/06/1997

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 Matthew Holian Malloy.
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