Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Graham Smith is a registered investment advisor representative with Neuberger Berman BD LLC. Stephen is registered with the states of Connecticut, New Jersey, and New York. Stephen has been in the industry since June 1, 2017, and is a Chartered Financial Analyst. Stephen also serves as Chair of the C1 Work Group for the American Academy of Actuaries, a professional organization. Stephen's prior experience includes roles at Goldman Sachs and Neuberger Berman.
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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A percentage of the total value of assets under management is charged.
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2
NY
03/28/2021 - Present
Neuberger Berman BD LLC (NEW YORK NY)
BC
Issued 04/02/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 07/20/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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