Simon Griffiths is a CFA-designated registered investment advisor at Neuberger Berman Bd LLC, based in Toronto, with 7 years of industry experience. Simon 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
Bay Wellington Tower 181 Bay Street., Suite 815, Toronto, M5J 2V1
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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
October 2018 - Present · 7 yrs 9 mos
Neuberger Berman Bd LLCBroker
October 2018 - Present · 7 yrs 9 mos
Neuberger Berman Bd LLC
September 2018 - Present · 7 yrs 10 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.