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James O'NEill Duffy

Neuberger Berman Bd LLC

Melville, NY

New York, NY

CRD 3018048

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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 2026-03-30
  • NY RA
    APPROVED
    Since 2026-03-30

Branch Locations

Melville, NY • United States

1290 Avenue Of The Americas, New York, NY 10104 • 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
Van Eck Securities Corporation New York NY 07/2015 03/2017
Foreside Fund Services, Llc New York NY 04/2017 Present
World Gold Trust Services, Llc New York NY 03/2017 Present
  • 07/2015 → 03/2017
    Van Eck Securities Corporation
    New York, NY
  • 04/2017 → Present
    Foreside Fund Services, Llc
    New York, NY
  • 03/2017 → Present
    World Gold Trust Services, Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-28
S63 Uniform Securities Agent State Law Examination 2015-09-16
  • S66 Uniform Combined State Law Examination
    2026-03-28
  • S63 Uniform Securities Agent State Law Examination
    2015-09-16
Other Names
  • James Oneill Duffy
  • James Oneill Duffy
  • James Oneill Duffy
  • James Oneill Duffy Iii
  • James O'NEill Duffy

View on SEC IAPD

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