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Richard Mark Werman

Neuberger Berman BD LLC

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About Richard Mark Werman

Richard Werman has been in the financial services industry since September 1989. Richard is currently a Registered Representative of Neuberger Berman BD LLC. Richard has a diverse professional background having worked for several well-known firms, including Salomon Smith Barney Inc., Paine Webber Incorporated, and H. L. Michaels Securities, Inc. He has a wide range of experience in the financial services industry, including experience with direct participation programs. He has a strong track record of success in helping his clients achieve their financial goals.

Firm Information

Richard Werman 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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Richard Werman’s Registration & Firm History

NY

09/03/2002 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

07/03/2008 - 06/30/2016

NEUBERGER BERMAN MANAGEMENT LLC (NEW YORK NY)

NY

06/27/1994 - 09/11/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NJ

07/12/1991 - 06/23/1994

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

12/08/1986 - 10/05/1988

H. L. MICHAELS SECURITIES, INC.

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Licenses & Designations

BC

Issued 07/26/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/1991

Series 7 - General Securities Representative Examination

BC

Issued 12/04/1986

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Richard Mark Werman. Review regulatory record here.
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