Seth J. Finkel
NEUBERGER BERMAN BD LLC | Managing Director
New York, NY 10104
Some features on this profile are disabled
CRD#: 1366138
Professional summary
Seth Joseph Finkel is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Seth has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Seth J. Finkel, Managing Director, joined the firm in 1990. Seth is a Wealth Advisor who works with high net worth individuals, closely held businesses, fiduciaries, and not-for-profit organizations to coordinate the development and implementation of individualized investment programs. He is a member of the Board of Directors of the Neuberger Berman Trust Company. Seth also serves as a member of the Advisory Board for Lehigh University’s Center for Financial Services.
Prior to joining Neuberger Berman, Seth spent six years providing personal tax and financial counseling, first, as a financial consultant with The Ayco Corporation and then, with Coopers & Lybrand as a Manager in their Personal Financial Services group. Seth received a B.S. from Lehigh University, a J.D. from Fordham University School of Law and an LL.M. in Tax from New York University School of Law. He is active with several philanthropic youth initiatives which focus on financial literacy, mental health and providing financial grants for sports programs in underserved communities. Seth has been rated among the top financial advisors by various financial media: in 2019, he was ranked 23rd in the United States and 5th in New York State by Barron's.
Question & Answer
What are your service offerings?
Trust & estate planning
Trading individual securities
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Joseph Finkel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Joseph Finkel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 18, 1997 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Current
March 11, 1991 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
May 21, 1985 - October 8, 1986
MERCER ALLIED CORPORATION
BD
CRD#: 7829
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2021)
RR
Alaska(1/4/2021)
RR
Arizona(10/3/2007)
RR
Arkansas(1/4/2021)
RR
California(12/5/1994)
RR
Colorado(7/22/2002)
RR
Connecticut(9/5/1996)
RR
Delaware(6/11/2009)
RR
District of Columbia(1/8/1998)
RR
Florida(4/23/1993)
RR
Georgia(7/22/2002)
RR
Hawaii(1/4/2021)
RR
Idaho(1/4/2021)
RR
Illinois(10/3/2007)
RR
Indiana(12/4/2014)
RR
Iowa(11/13/2012)
RR
Kansas(4/18/1991)
RR
Kentucky(1/5/2000)
RR
Louisiana(10/6/2014)
RR
Maine(9/10/1996)
RR
Maryland(7/22/2002)
RR
Massachusetts(5/24/1993)
RR
Michigan(4/19/1991)
RR
Minnesota(4/23/1991)
RR
Mississippi(8/27/2013)
RR
Missouri(4/19/1991)
RR
Montana(10/22/2020)
RR
Nebraska(1/4/2021)
RR
Nevada(1/6/1995)
RR
New Hampshire(7/22/2002)
RR
New Jersey(4/12/1991)
IAR
New Jersey(7/5/2002)
RR
New Mexico(1/4/2021)
RR
New York(3/27/1991)
IAR
New York(3/26/2021)
RR
North Carolina(7/23/2002)
RR
North Dakota(1/4/2021)
RR
Ohio(4/19/1991)
RR
Oklahoma(1/16/1997)
IAR
Oklahoma(2/18/1997)
RR
Oregon(2/24/2005)
RR
Pennsylvania(5/7/1992)
RR
Puerto Rico(1/4/2021)
RR
Rhode Island(1/8/2014)
RR
South Carolina(7/22/2002)
RR
South Dakota(5/23/2005)
RR
Tennessee(4/30/2008)
RR
Texas(2/19/1993)
RR
Utah(7/22/2019)
RR
Vermont(7/23/2002)
RR
Virgin Islands(1/4/2021)
RR
Virginia(5/22/1995)
RR
Washington(12/20/1994)
RR
West Virginia(1/4/2021)
RR
Wisconsin(4/19/1991)
RR
Wyoming(8/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1290 Avenue Of The Americas, New York, NY 10104
Mailing Address
1290 Avenue Of The Americas, New York, NY 10104
Phone number
(212) 476-9000
Established
Delaware since 11/01/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,058
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
Managing DirectorCRD#: 2908New York, NY 10104TRUST BUT VERIFY
Monitor Seth Finkel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
