Stephen Smith
Stephen Smith is a CFA-designated registered investment advisor at Neuberger Berman Bd LLC, based in Pelham, NY, with 9 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold.
Compensation
Firm Size
IM Fee
Location
Pelham, NY
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Regulatory History
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 →Other Business ActivitiesSells Insurance
Stephen is the Chair of the C1 Work Group for the American Academy of Actuaries, a professional organization. He dedicates minimal time both during and outside of trading hours to this role, assisting public policymakers on investment-related capital requirements for US life insurers.
Employment History
Current Registrations
Neuberger Berman Bd LLC
Neuberger Berman Bd LLCBroker
Neuberger Berman Bd LLC
State Registrations3 states
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Exams
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