Albert Xinan Hu

Neuberger Berman Bd LLC

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Current Employers

Neuberger Berman Bd Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-03-23
NJ	RA	APPROVED	2020-07-08

NY RA
APPROVED

Since 2021-03-23
NJ RA
APPROVED

Since 2020-07-08

Branch Locations

New York, 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	07/2018	05/2019
Unemployed	Tokyo		05/2018	07/2018
The Wharton School	Philadelphia	PA	08/2016	05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	06/2017	08/2017
Bofa Securities, Inc.	New York	NY	05/2019	02/2020
Neuberger Berman	New York	NY	04/2020	Present

07/2018 → 05/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
05/2018 → 07/2018

Unemployed

Tokyo
08/2016 → 05/2018

The Wharton School

Philadelphia, PA
06/2017 → 08/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
05/2019 → 02/2020

Bofa Securities, Inc.

New York, NY
04/2020 → Present

Neuberger Berman

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-07
S63	Uniform Securities Agent State Law Examination	2018-08-19

S66 Uniform Combined State Law Examination

2020-07-07
S63 Uniform Securities Agent State Law Examination

2018-08-19

Other Names

Albert Xinan Hu
Albert Hu

View on SEC IAPD

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