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Lacey Dawn Johnson

Neuberger Berman BD LLC

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About Lacey Dawn Johnson

Lacey Dawn Johnson is a financial advisor with over 20 years of experience in the industry. Lacey is a Certified Financial Planner™ professional and currently registered with Neuberger Berman BD LLC. Lacey has held previous roles at Fidelity Brokerage Services LLC, Klingenstein Fields Wealth Advisors, and Strategic Advisers, Inc. Lacey holds Series 7, 9, 10, 63 and 66 securities licenses and is currently registered in California, Delaware, Florida, New York, South Dakota, Texas and Washington. Lacey provides investment advisory services to individuals, high net worth individuals, trusts, estates, and corporations.

Firm Information

Lacey Johnson 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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Lacey Johnson’s Registration & Firm History

NY

03/04/2022 - Present

Neuberger Berman BD LLC (NEW YORK NY)

MA

11/20/2018 - 03/14/2022

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

CA

12/13/2001 - 03/29/2016

FIDELITY BROKERAGE SERVICES LLC (PALO ALTO CA)

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Licenses & Designations

BC

Issued 12/21/2018

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 05/16/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/29/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/07/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/20/2018

Series 7TO - General Securities Representative Examination

BC

Issued 03/29/2016

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2001

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 Lacey Dawn Johnson.
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