linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Richard Wu

Neuberger Berman BD LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Richard? Claim Your Profile

About Richard Wu

Richard Wu is a financial professional with over 28 years of experience in the industry. Currently, Richard is registered with Neuberger Berman BD LLC in New York, New York. Richard has also held previous roles at Barclays Capital Inc., Lehman Brothers Inc., Société Générale Securities Corporation, and BHF Securities Corporation. Richard has passed the Series 7, Series 63, Series 99TO and the SIE exams.

Firm Information

Richard Wu 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.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Richard Wu’s Registration & Firm History

NY

06/24/2013 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

09/22/2008 - 07/15/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/15/2004 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/08/1996 - 06/12/2003

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

04/06/1995 - 03/25/1996

SOCIETE GENERALE SECURITIES CORPORATION (NEW YORK NY)

NY

08/19/1993 - 03/29/1995

BHF SECURITIES CORPORATION (NEW YORK NY)

Not sure if Richard Wu is right for you?

Licenses & Designations

BC

Issued 11/12/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/1993

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 Richard Wu.
Not sure if Richard Wu is right for you?