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Stephen McCarten

Neuberger Berman BD LLC

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About Stephen McCarten

Stephen McCarten is a financial advisor with Neuberger Berman BD LLC in New York, NY. Stephen has been a financial professional since 2003 and has experience with a variety of investment strategies. Stephen holds the Series 3, 7, 24, 55 and 63 securities licenses, as well as the SIE and the Series 66. Stephen has previously worked at Cantor Fitzgerald & Co., Goldman Sachs & Co., and Foreside Fund Services, LLC.

Firm Information

Stephen McCarten 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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Stephen McCarten’s Registration & Firm History

NY

04/25/2023 - Present

Neuberger Berman BD LLC (NEW YORK NY)

ME

08/14/2015 - 11/20/2015

FORESIDE FUND SERVICES, LLC (PORTLAND ME)

NY

08/25/2014 - 01/02/2015

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

10/27/2008 - 05/22/2013

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

09/18/2003 - 11/05/2010

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 04/06/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/17/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/08/2006

Series 24 - General Securities Principal Examination

BC

Issued 11/20/2015

SIE - Securities Industry Essentials Examination

BC

Issued 05/28/2008

Series 3 - National Commodity Futures Examination

BC

Issued 05/03/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/18/2003

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 Stephen McCarten.
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