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Joana Scaff

NEUBERGER BERMAN BD
Milan,
·CRD# 4701287·23 years experience

Professional Summary

Joana 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Joana Palhava Rocha, Joana Rocha, Joana Rocha Scaff

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
BD
Via San Damiano 9, Milan 20122
February 27, 2009 - Present
NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
BD
1290 Avenue Of The Americas, New York, NY 10104
September 19, 2008 - Present
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
August 15, 2005 - September 24, 2008
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
October 15, 2003 - July 5, 2005

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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)

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

1,087

SEC notice filing (50 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

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 Event

20

Arbitration

5

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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.

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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.
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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(2/27/2009)
IAR
New Jersey
(2/27/2009)
RR
New York
(9/19/2008)
IAR
New York
(3/25/2021)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2009About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2003About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2003About the Series 7 exam
FINRA
SRO Registrations
Nasdaq ISE, LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Joana Scaff's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joana Scaff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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