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Current Employers
Neuberger Berman Bd Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-01
IL RA APPROVED 2026-06-30
  • TX RA
    APPROVED
    Since 2026-07-01
  • IL RA
    APPROVED
    Since 2026-06-30

Branch Locations

Chicago, IL • United States

190 South Lasalle Street 23Rd & 24Th & 27Th Floor, Chicago, IL 60603 • 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
Bmo Capital Markets Corp. Chicago IL 06/2015 03/2017
Ventas, Inc. Chicago IL 03/2017 07/2019
Wework New York NY 08/2019 11/2021
Avantstay New York NY 11/2021 07/2023
Cif Advisory Llc Chicago IL 08/2023 Present
Neuberger Berman Chicago IL 02/2026 Present
  • 06/2015 → 03/2017
    Bmo Capital Markets Corp.
    Chicago, IL
  • 03/2017 → 07/2019
    Ventas, Inc.
    Chicago, IL
  • 08/2019 → 11/2021
    Wework
    New York, NY
  • 11/2021 → 07/2023
    Avantstay
    New York, NY
  • 08/2023 → Present
    Cif Advisory Llc
    Chicago, IL
  • 02/2026 → Present
    Neuberger Berman
    Chicago, IL
Other Businesses

I am the Owner of CIF Advisory LLC, an independent consultancy organized as a single-member limited liability company used for client engagements and invoicing. This outside business activity commenced on March 8, 2024. I devote approximately three hours per month to this activity outside of regular business hours, with no business hours devoted during the normal workday. I do receive compensation in connection with this role; the amount varies on an annual basis. My financial interest in CIF Advisory LLC also varies. I am not aware of any conflict of interest between this outside business activity and my responsibilities at Neuberger Berman LLC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-06-29
S63 Uniform Securities Agent State Law Examination 2015-08-14
  • S66 Uniform Combined State Law Examination
    2026-06-29
  • S63 Uniform Securities Agent State Law Examination
    2015-08-14
Other Names
  • Carolyn Fuwa
  • Carolyn Insoon Fuwa

View on SEC IAPD

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