NEUBERGER BERMAN INVESTMENT SERVICES, LLC
CRD #129618 SEC #801-62549 NEW YORK, NY 800-877-9700
SEC Registered
Total AUM
$175M
Discretionary
$175M
Employees
10
Clients
--
Accounts
4
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- NOVEMBER
- Registration Date
- --
- Latest Filing
- Feb 28, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CETRON, BRAD, ELLIOT | I | CHIEF COMPLIANCE OFFICER | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| HANDWERKER, KEVIN | I | EXECUTIVE VICE PRESIDENT | NA | |
| KATZ, DAVID, LLOYD | I | VICE PRESIDENT AND SECRETARY | NA | |
| KATZ, DAVID, LLOYD | I | VICE PRESIDENT AND SECRETARY | NA | |
| KATZ, DAVID, LLOYD | I | VICE PRESIDENT AND SECRETARY | NA | |
| LANE, JEFFREY, BRUCE | I | PRESIDENT | NA | |
| LANE, JEFFREY, BRUCE | I | PRESIDENT | NA | |
| LANE, JEFFREY, BRUCE | I | PRESIDENT | NA | |
| LANE, JEFFREY, BRUCE | I | PRESIDENT | NA | |
| LANE, JEFFREY, BRUCE | I | PRESIDENT | NA | |
| MATZA, ROBERT | I | PRESIDENT | NA | |
| MATZA, ROBERT | I | PRESIDENT | NA | |
| MATZA, ROBERT | I | PRESIDENT | NA | |
| MATZA, ROBERT | I | PRESIDENT | NA | |
| MATZA, ROBERT | I | PRESIDENT | NA | |
| MORELLI, ROBERT, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MORELLI, ROBERT, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MORELLI, ROBERT, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | NA | |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | NA | |
| OGDEN, KEITH, EDWARD | I | CHIEF OPERATING OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| SACK, JOSHUA, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | E | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | E | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | MEMBER | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NEUBERGER BERMAN INC. | DE | PRINCIPAL | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NILES, DANIEL, T | I | CHIEF EXECUTIVE OFFICER | D | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LEHMAN BROTHERS HOLDING INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDING INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDING INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDING INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
| LEHMAN BROTHERS HOLDINGS INC. | DE | NEUBERGER BERMAN INC. | E | Control |
Registrations
Federal
IA
Feb 28, 2007 REGISTERED
Address
605 THIRD AVENUE21ST FLOOR
NEW YORK, NY 10158
USA
Phone: 800-877-9700