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Jose Rolando Garcia

Neuberger Berman Bd LLC

New York, NY

Miami Beach, FL

CRD 4472087

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Employer firm

Neuberger Berman Bd LLC CRD 2908

Reported services (Item 5G)

  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Neuberger Berman Bd Llc

1290 Avenue Of The Americas, New York, NY 10104 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-20
FL RA APPROVED 2012-01-09
  • NY RA
    APPROVED
    Since 2021-03-20
  • FL RA
    APPROVED
    Since 2012-01-09

Branch Locations

1290 Avenue Of The Americas, New York, NY 10104 • United States

Miami Beach, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Neuberger Berman Llc Miami FL 12/2011 Present
  • 12/2011 → Present
    Neuberger Berman Llc
    Miami, FL
Previous Registrations
  • 2006-07-28 → 2010-03-11
    Alliancebernstein L.P.
    Miami, FL
  • 2005-09-29 → 2006-07-05
    Banc Of America Investment Services, Inc.
    Miami, FL
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-02
  • S66 Uniform Combined State Law Examination
    2005-05-02
Other Names
  • Jose Rolando Garcia
  • Jose Rolando Garcia

View on SEC IAPD

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