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Joana R. Scaff
NEUBERGER BERMAN BD LLC
Milan, 20122
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CRD#: 4701287
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Professional summary
Joana Rocha Scaff, who also goes by Joana Palhava Rocha, Joana Rocha, Joana Rocha Scaff, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC .
Joana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joana has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joana Palhava Rocha | Joana Rocha | Joana Rocha Scaff
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.
BVCA - Britisth Private Equity & Venture Capital Association. Educational.
The British Private Equity & Venture Capital Association (BVCA) is the industry body and public policy advocate for the private equity and venture capital industry in the UK.
Member of the Limited Partner Committee of the BVCA.
Member of the Limited Partner Committee of the BVCA. The Limited Partner Committee identifies common interests between members of the wider investment community and finds effective methods by which to combine interests of diverse parties within that community. It looks to establish an effective feedback loop between the LP and GP communities and advises the BVCA on its strategies and approaches to engage with institutional investors and other relevant parties of the private equity and venture capital industry. As of December 2018, members of the LP Committee included:
Simon Faure (M&G Investments); Dana Haimoff (JP Morgan Asset Management), Delaney Brown (CPPIB), Geoffrey Geiger (Universities Superannuation Scheme), Jan Faber (Bregal Private Equity Partners), Joana Rocha Scaff (Neuberger Berman), Ken Cooper (British Business Bank), Laura Coquis (OMERS), Neil Cooper (Greater Manchester Pension Fund), Peter Turnor (South Yorkshire Pensions Authority), Richard Clarke Jervoise (Stonehage Fleming), Yvonne O'Mara (GIC).
Start Date 08/14/2014.
No time dedicated during Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joana Rocha Scaff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joana Rocha Scaff'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
February 27, 2009 - Present
NEUBERGER BERMAN BD LLC
Office #1: Via San Damiano 9, Milan 20122RIA
BD
CRD#: 2908
Milan,
Current
September 19, 2008 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104RIA
BD
CRD#: 2908
New York, NY
Past
August 15, 2005 - September 24, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 15, 2003 - July 5, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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 | 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
New Jersey(2/27/2009)
IAR
New Jersey(2/27/2009)
RR
New York(9/19/2008)
IAR
New York(3/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEUBERGER BERMAN BD LLC
CRD#: 2908Milan 20122TRUST BUT VERIFY
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