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Thuan Tan tranthien Nguyen

Neuberger Berman BD LLC

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About Thuan Tan tranthien Nguyen

Thuan Nguyen is a financial advisor with over 20 years of experience in the industry. Thuan is currently registered with Neuberger Berman BD LLC as a Registered Representative and Investment Adviser Representative. Thuan holds a Series 63, 65, 7, and 87 license. Thuan has also passed the SIE exam. Thuan has experience with Lehman Brothers Inc., Goldman, Sachs & Co., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thuan holds a Chartered Financial Analyst designation. Thuan specializes in providing financial advice to individuals and families.

Firm Information

Thuan Nguyen 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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Thuan Nguyen’s Registration & Firm History

NY

03/19/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

08/14/2006 - 09/27/2006

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/14/2003 - 05/16/2006

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

09/17/2001 - 07/01/2003

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

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Licenses & Designations

IA

Issued 08/29/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/04/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/14/2001

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 Thuan Tan tranthien Nguyen.
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