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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Thomas Patrick Monks

Advisor at NEUBERGER BERMAN BD LLC

NEW YORK, NY | Manhattan Beach, CA

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Search this name across graphsid dfx:ria:ce4a7a76-9f61-3223-7e76-aa9932d5b0a5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEUBERGER BERMAN BD LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 14, 1997
First registration: Mar 24, 2005
Dual registered: yes, broker-dealer
Other names: THOMAS PATRICK MONKS|Thomas P Monks
IAPD individual key: 2846095

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEUBERGER BERMAN BD LLC	No RAUM reported	Nov 26, 2025	n/a	yes	Manhattan Beach, CA\|NEW YORK, NY	Current employment
HARTFORD FUNDS	Asset manager	May 18, 2015	Sep 21, 2021	no	MANHATTAN BEACH, CA\|WAYNE, PA\|Pasadena, CA	Previous registration
FIRST TRUST ADVISORS LP	Asset manager	Nov 15, 2011	Dec 17, 2014	no	WHEATON, IL	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Jun 7, 2010	Nov 9, 2011	no	ATLANTA, GA	Previous registration
VAN KAMPEN ADVISORS INC	n/a	Feb 8, 2006	Jun 3, 2010	no	MANHATTAN BEACH, CA\|HOUSTON, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 24, 2005	Feb 2, 2006	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HARTFORD FUNDS	NEUBERGER BERMAN BD LLC	Sep 21, 2021	Nov 26, 2025	1,527	Firm change after gap	Other
FIRST TRUST ADVISORS LP	HARTFORD FUNDS	Dec 17, 2014	May 18, 2015	152	Firm change	Other
INVESCO ADVISERS, INC.	FIRST TRUST ADVISORS LP	Nov 9, 2011	Nov 15, 2011	6	Firm change	Other
VAN KAMPEN ADVISORS INC	INVESCO ADVISERS, INC.	Jun 3, 2010	Jun 7, 2010	4	Bulk transfer	Other
MORGAN STANLEY DW INC.	VAN KAMPEN ADVISORS INC	Feb 2, 2006	Feb 8, 2006	6	Firm change	Other

Relationships

Registered with (6)

→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: current employment
Nov 26, 2025 to presentfactForm ADV
→ HARTFORD FUNDSRegistered adviserregistration: previous registration
May 18, 2015 to Sep 21, 2021factForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Nov 15, 2011 to Dec 17, 2014factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jun 7, 2010 to Nov 9, 2011factForm ADV
→ VAN KAMPEN ADVISORS INCRegistered adviserregistration: previous registration
Feb 8, 2006 to Jun 3, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 24, 2005 to Feb 2, 2006factForm ADV

Dated events

No dated event names this entity yet.