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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

LAUREL A NELSON

Advisor at NEUBERGER BERMAN BD LLC

Valley Village, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:cf31d425-077c-f1cc-21c6-00a8a0da128e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2006 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: Jun 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 22, 2001
First registration: Jan 4, 2006
Dual registered: yes, broker-dealer
Other names: LAUREL ANN NELSON
IAPD individual key: 3093468

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	Jul 8, 2021	n/a	yes	Valley Village, CA\|LOS ANGELES, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Oct 22, 2015	Jun 22, 2021	no	LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 9, 2013	Sep 22, 2015	no	Bellevue, WA\|ANCHORAGE, AK	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 15, 2011	Sep 10, 2013	no	SEATTLE, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 2, 2007	Jul 29, 2010	no	NEW YORK, NY\|SEATTLE, WA\|NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 4, 2006	Apr 2, 2007	no	SEATTLE, WA\|SEATTLE, WA	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
RBC SECURITIES, INC.	NEUBERGER BERMAN BD LLC	Jun 22, 2021	Jul 8, 2021	16	Firm change	Other
MORGAN STANLEY	RBC SECURITIES, INC.	Sep 22, 2015	Oct 22, 2015	30	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 10, 2013	Sep 9, 2013	-1	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 2, 2007	May 2, 2007	30	Firm change	Other

Relationships

Registered with (5)

→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: current employment
Jul 8, 2021 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Oct 22, 2015 to Jun 22, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 9, 2013 to Sep 22, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 15, 2011 to Sep 10, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 4, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.