Full text of NEUBERGER BERMAN BD LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Supplemental Information December 31, 2020 (These financial statements and supplemental information should be deemed confidential pursuant to Subparagraph (e)(3) of Rule 17a-5) (With Reports of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # hours per response.. . . . . 12.00 ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8- | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | MM/DD/YY | | MM/DD/YY | | |-----------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|---------------|--------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | ___________________________________________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | ___________________________________________________________________________________________ | | | | __________________________ | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | _<br>___________________________________________________________________________________________ | | | | _________________________ | | | | | | (Area Code – Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | | _____________________________________________________________________________________________________________________ | (Name – if individual, state last, first, middle name) | | | | | _____________________________________________________________________________________________________________________ | | | | | | (Address) | (City) | (State) | | (Zip Code) | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any…Read the full text as markdown