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Neuberger Berman Bd LLC CRD 2908
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1290 Avenue Of The Americas, New York, NY 10104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-26 |
| NJ | RA | APPROVED | 2014-11-21 |
Branch Locations
1290 Avenue Of The Americas, New York, NY 10104 • United States
Chappaqua, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Neuberger Berman Llc | New York | NY | 08/2014 | Present |
Defined Contribution Alternatives Association (DCALTA)Start Date 9/7/2016.Non-profit industry association.DCALTA is a IRC 501(c) non-profit assoiciation that exists to advance the utilization of alternative investments within a Defined Contribution framework. Through focused research, education, and advocacy efforts we seek to better secure and enhance participant outcomes through the inclusion of Hedge Funds, Private Equity, and other alternative investments in the defined contribution model. Board Member.Help guide DCALTA's strategic direction and ensure consistency with the delivery of content and information to the defined contribution community. Also: appointed to the Executive Committee of DCIIA (Defined Contribution Institutional Investment Association). Start Date 1/22/2020. DCIIA is a non-profit association dedicated to enhancing retirement security of America's workers. It has a diverse group of members that include, investment managers, consultants, recordkeepers, law firms, and insurance companies that work on thought leadership to help retirement plan sponsors make better decisions for their participants. There are 160 plus member firms with around 30 people who participate in the board. Firms include Blackrock, Capital Group, Wellington, State Street, Empower, Transamerica, Fidelity, Mercer, Callan, PIMCO, and many others. I will be the co-vice chair of the Investment Policy & Design committee, chaired by someone from Aon, along with someone from PIMCO. I will also be the chair of an ESG sub- committee to that committee. All of the DCIIA activities and thought leadership initiatives are strictly product agnostic.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1989-06-06 |
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