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Brendan Corey Roach

Neuberger Berman BD LLC

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About Brendan Corey Roach

Brendan Corey Roach is a financial advisor registered with Neuberger Berman BD LLC. Brendan Roach is a registered representative and an investment advisor. Brendan Roach is licensed in 12 states. Brendan Corey Roach has been working in the financial industry since July 1997. Brendan Roach is licensed in various states across the country. Brendan Roach has experience working in financial institutions, such as Liberty Securities Corporation, W. S. Griffith & Co., Inc., Kemper Distributors, Inc., and Neuberger Berman Management LLC. Brendan Roach is currently employed with Neuberger Berman BD LLC.

Firm Information

Brendan Roach is currently registered with Neuberger Berman BD LLC. Neuberger Berman BD LLC is a Limited Liability Company formed in November 1996. The firm is headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have a team of 1,880 investment advisor representatives and registered representatives. The firm specializes in providing investment advisory services to a variety of clients, including high-net-worth individuals, corporations, and institutions.
Neuberger Berman BD LLC

1290 AVENUE OF THE AMERICAS

NEW YORK, NY 10104

Not reported

Assets Under Management

Not reported

Total Clients

924

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brendan Roach’s Registration & Firm History

IL

03/29/2021 - Present

Neuberger Berman BD LLC (Chicago IL)

IL

03/26/2001 - 06/30/2016

NEUBERGER BERMAN MANAGEMENT LLC (CHICAGO IL)

IL

01/29/1999 - 04/19/2001

KEMPER DISTRIBUTORS, INC. (CHICAGO IL)

NY

06/26/1996 - 08/13/1997

LIBERTY SECURITIES CORPORATION (PURCHASE NY)

CT

01/04/1996 - 05/30/1996

W. S. GRIFFITH & CO., INC. (HARTFORD CT)

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Licenses & Designations

IA

Issued 08/24/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/03/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/29/2014

Series 31 - Futures Managed Funds Examination

BC

Issued 03/21/2002

Series 7 - General Securities Representative Examination

BC

Issued 01/03/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brendan Corey Roach.
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