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Jose Rolando Garcia

Neuberger Berman BD LLC

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About Jose Rolando Garcia

Jose Rolando Garcia is a registered representative with Neuberger Berman BD LLC and has been in the industry since February 5, 2002. Jose Rolando Garcia is registered with the state of Florida for both securities and investment advisory services. Jose Rolando Garcia is also registered with the state of New York for both securities and investment advisory services. Jose Rolando Garcia has previously worked at Goldman, Sachs & Co., AllianceBernstein Investments, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., CITICORP INVESTMENT SERVICES and CAPITAL BROKERAGE CORPORATION.

Firm Information

Jose Garcia 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

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percentage of assets

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

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Jose Garcia’s Registration & Firm History

NY

03/20/2021 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

03/11/2010 - 12/16/2011

GOLDMAN, SACHS & CO. (NEW YORK NY)

FL

07/28/2006 - 03/11/2010

ALLIANCEBERNSTEIN INVESTMENTS, INC. (MIAMI FL)

FL

03/21/2005 - 07/05/2006

BANC OF AMERICA INVESTMENT SERVICES, INC. (MIAMI FL)

NY

09/10/2002 - 03/25/2005

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

VA

12/07/2001 - 08/01/2002

CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)

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Licenses & Designations

BOTH

Issued 05/02/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/06/2001

Series 7 - General Securities 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 Jose Rolando Garcia.
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