AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JD

James O. Duffy

NEUBERGER BERMAN BD LLC
New York, NY 10104
Some features on this profile are disabled
CRD#: 3018048
JD

Professional summary

James O'neill Duffy III, who also goes by James Oneill Duffy III, James Oneill Duffy, James Oneill Duffy III, James O'neill Duffy, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Oneill Duffy Iii | James Oneill Duffy | James Oneill Duffy Iii | James O'neill Duffy

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) - BD

Click below to view James O'neill Duffy III'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

January 27, 2026 - Present

NEUBERGER BERMAN BD LLC

Office #1: 1290 Avenue Of The Americas, New York, NY 10104
RIA
BD
CRD#: 2908
New York, NY
Past

April 10, 2017 - September 14, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

September 10, 2015 - March 20, 2017

VAN ECK SECURITIES CORPORATION

BD
CRD#: 2269
NEW YORK, NY
Past

November 19, 2009 - January 13, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LAKE SUCCESS, NY
Past

September 1, 2006 - November 2, 2006

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

December 15, 2005 - September 30, 2009

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

February 15, 2005 - December 7, 2005

ROBERT G. PEARS & CO., INC.

BD
CRD#: 32215
NEW YORK, NY
Past

September 26, 2003 - April 1, 2004

COMPASS EXECUTION SERVICES, LLC

BD
CRD#: 125080
CHICAGO, IL
Past

September 26, 2003 - March 1, 2005

EQUITEC PROPRIETARY MARKETS, LLC

BD
CRD#: 113728
CHICAGO, IL
Past

June 12, 2001 - April 8, 2003

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 15, 1999 - June 19, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

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 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.

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
New Jersey
(2/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/4/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/28/2007
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/10/2008
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NEUBERGER BERMAN BD LLC
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLCMEMBER124687
AMATO, JOSEPH VINCENTPRESIDENT, CHIEF EXECUTIVE OFFICER2210305
CETRON, BRAD ELLIOTCHIEF COMPLIANCE OFFICER4040222
CHINNI, MICHAELCHIEF FINANCIAL OFFICER5721816
HENTON, LORIN FREDMANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS3014463

Disclosures

Regulatory Event20
Arbitration5

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.

Company Information

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

CRD#: 2908New York, NY 10104

TRUST BUT VERIFY

Monitor James Duffy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.