Brendan C. Roach

NEUBERGER BERMAN BD LLC

Chicago, IL

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CRD#: 2681700

Professional summary

Brendan Corey Roach, who also goes by Brendan C Roach, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in Chicago, Illinois.

Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brendan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brendan C Roach

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Corey Roach's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brendan Corey Roach's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 11, 2001 - Present

NEUBERGER BERMAN BD LLC

Office #2: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603

RIA

CRD#: 2908

Chicago, IL

Current

March 27, 2001 - Present

NEUBERGER BERMAN BD LLC

Office #1: 190 South Lasalle Street 23rd & 24th & 27th Floor, Chicago, IL 60603

RIA

CRD#: 2908

CHICAGO, IL

Past

March 26, 2001 - June 30, 2016

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

CHICAGO, IL

Past

January 29, 1999 - April 19, 2001

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

June 26, 1996 - August 13, 1997

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 4, 1996 - May 30, 1996

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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)

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.

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

Alabama
(4/4/2018)

Colorado
(4/4/2018)

Illinois
(3/27/2001)

IAR

Illinois
(9/11/2001)

Iowa
(4/4/2018)

Kansas
(4/4/2018)

Kentucky
(4/4/2018)

New Jersey
(6/5/2018)

New York
(3/27/2001)

IAR

New York
(3/29/2021)

Ohio
(4/5/2018)

Pennsylvania
(1/3/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/29/2014

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/21/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/3/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

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.

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Advisor Monitoring

Firm Stability Insights

Brendan C. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Corey Roach's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brendan Corey Roach's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN MANAGEMENT LLC

DWS DISTRIBUTORS, INC.

IFMG SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2001

Series 63

Date: 1/3/1996

SIE

Date: 10/1/2018

Series 31

Date: 4/29/2014

Series 7

Date: 3/21/2002

Series 6

Date: 1/3/1996

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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