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James Obrien

Neuberger Berman Bd LLC

New York, NY

New York, NY

CRD 5807679

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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 2026-08-17
  • NY RA
    APPROVED
    Since 2026-08-17

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
OrganizationCityStateFromTo
Ubs Financial Services Stamford CT 10/2012 10/2016
Ubs Asset Management New York NY 10/2016 01/2019
Ubs Financial Services Inc Weehawken NJ 02/2019 08/2026
Neuberger Berman Bd Llc New York NY 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-23
  • S66 Uniform Combined State Law Examination
    2013-05-23
Other Names
  • James Patrick Obrien
  • James Obrien
  • Jim Obrien
  • Jimmy Obrien

View on SEC IAPD

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