TM
TM
Thomas Monks is a registered investment advisor at Neuberger Berman Bd LLC, based in Manhattan Beach, CA, with 26 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales.
Compensation
Fee-Only (% of Portfolio)
Firm Size
837 advisors
IM Fee
Planning only
Loading...
Location
Manhattan Beach, CA
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Neuberger Berman Bd LLC
November 2025 - Present · 6 mos
Neuberger Berman Bd LLC
September 2025 - Present · 8 mos
Neuberger Berman Bd LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
Dws Distributors, INC.Broker
October 2021 - September 2025 · 3 yrs 11 mos
Hartford Funds Distributors, LLCBroker
May 2015 - September 2021 · 6 yrs 4 mos
Hartford Funds
May 2015 - September 2021 · 6 yrs 4 mos
First Trust Advisors LP
November 2011 - December 2014 · 3 yrs 1 mo
First Trust Portfolios L.P.Broker
November 2011 - December 2014 · 3 yrs 1 mo
Invesco Advisers, INC.
June 2010 - November 2011 · 1 yr 5 mos
Invesco Distributors, INC.Broker
June 2010 - November 2011 · 1 yr 5 mos
Van Kampen Advisors INC
February 2006 - June 2010 · 4 yrs 4 mos
Van Kampen Funds INC.Broker
February 2006 - June 2010 · 4 yrs 4 mos
Morgan Stanley
March 2005 - February 2006 · 11 mos
Morgan Stanley Dw INC.Broker
March 2004 - February 2006 · 1 yr 11 mos
Independent Research Group LLCBroker
April 2003 - January 2004 · 9 mos
Sunamerica Capital Services, INC.Broker
October 2000 - November 2001 · 1 yr 1 mo
Ing Pilgrim Securities, INC.Broker
April 1999 - October 2000 · 1 yr 6 mos
Sunamerica Securities, INC.Broker
August 1997 - April 1999 · 1 yr 8 mos
M.S. Farrell & Company, INC.Broker
February 1997 - June 1997 · 4 mos
State Registrations2 states
CANY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.