SM
SM
Stephen Mccarten is a registered investment advisor at Neuberger Berman Bd LLC, based in New York, NY, with 13 years of industry experience. Stephen 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
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Location
1290 Avenue of the Americas, New York, NY, 10104
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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
April 2023 - Present · 3 yrs 3 mos
Neuberger Berman Bd LLC
February 2023 - Present · 3 yrs 5 mos
Neuberger Berman Bd LLCBroker
February 2023 - Present · 3 yrs 5 mos
Previous Registrations
Foreside Fund Services, LLCBroker
August 2015 - November 2015 · 3 mos
Cantor Fitzgerald & CO.Broker
August 2014 - January 2015 · 5 mos
Goldman, Sachs & CO.Broker
October 2008 - May 2013 · 4 yrs 7 mos
Goldman Sachs Execution & Clearing, L.P.Broker
September 2003 - November 2010 · 7 yrs 2 mos
State Registrations2 states
NJNY
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.