MJ
Michael S. Jacoby
NEUBERGER BERMAN BD LLC
CHICAGO, IL 60603
Some features on this profile are disabled
CRD#: 1506392
MJ
Professional summary
Michael Scott Jacoby is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Jacoby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Jacoby's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 17, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Current
April 20, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603RIA
BD
CRD#: 2908
CHICAGO, IL
Past
October 21, 2003 - December 24, 2020
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
May 30, 2003 - October 21, 2003
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
January 13, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
December 3, 1997 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
June 18, 1997 - December 4, 1997
BT BROKERAGE CORPORATION
BD
CRD#: 16570
NEW YORK, NY
Past
May 15, 1992 - February 20, 1997
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Past
November 23, 1990 - April 14, 1992
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 1, 1987 - July 17, 1990
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/29/2022)
RR
Alaska(9/29/2022)
RR
Arizona(4/20/2021)
RR
Arkansas(9/29/2022)
RR
California(4/20/2021)
RR
Colorado(4/20/2021)
RR
Connecticut(4/20/2021)
RR
Delaware(4/20/2022)
RR
District of Columbia(9/29/2022)
RR
Florida(4/20/2021)
RR
Georgia(9/29/2022)
RR
Hawaii(9/29/2022)
RR
Idaho(9/29/2022)
RR
Illinois(4/20/2021)
IAR
Illinois(5/17/2021)
RR
Indiana(4/20/2022)
RR
Iowa(4/20/2021)
RR
Kansas(9/29/2022)
RR
Kentucky(4/20/2021)
RR
Louisiana(9/29/2022)
RR
Maine(9/29/2022)
RR
Maryland(9/29/2022)
RR
Massachusetts(4/20/2021)
RR
Michigan(4/20/2021)
RR
Minnesota(4/20/2021)
RR
Mississippi(9/29/2022)
RR
Missouri(4/20/2021)
RR
Montana(9/29/2022)
RR
Nebraska(4/20/2021)
RR
Nevada(4/20/2021)
RR
New Hampshire(4/20/2021)
RR
New Jersey(9/29/2022)
RR
New Mexico(4/20/2021)
RR
New York(4/20/2021)
IAR
New York(5/17/2021)
RR
North Carolina(9/29/2022)
RR
North Dakota(9/29/2022)
RR
Ohio(4/21/2021)
RR
Oklahoma(4/20/2021)
RR
Oregon(1/19/2022)
RR
Pennsylvania(9/29/2022)
RR
Puerto Rico(9/29/2022)
RR
Rhode Island(9/29/2022)
RR
South Carolina(9/29/2022)
RR
South Dakota(4/20/2021)
RR
Tennessee(4/20/2021)
RR
Texas(4/20/2021)
RR
Utah(4/20/2021)
RR
Vermont(9/29/2022)
RR
Virgin Islands(9/29/2022)
RR
Virginia(9/29/2022)
RR
Washington(4/20/2021)
RR
West Virginia(9/29/2022)
RR
Wisconsin(4/20/2021)
RR
Wyoming(4/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
RIA
Registered Investment Advisory firm - SEC (1/26/1966 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1290 Avenue Of The Americas, New York, NY 10104
Mailing Address
1290 Avenue Of The Americas, New York, NY 10104
Phone number
(212) 476-9000
Established
Delaware since 11/01/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,058
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
