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Lisa Anne Ricca

Neuberger Berman BD LLC

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About Lisa Anne Ricca

Lisa Ricca is a financial advisor who has been working in the industry since 1997. Lisa is currently registered with Neuberger Berman BD LLC in New York, NY. Lisa has previously worked at J.P. MORGAN CLEARING CORP., J.P.MORGAN SECURITIES INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BRIARWOOD INVESTMENT COUNSEL, and MAIDSTONE FINANCIAL, INC.. Lisa holds the Series 63, SIE, and Series 7 licenses.

Firm Information

Lisa Ricca 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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Lisa Ricca’s Registration & Firm History

NY

03/06/2012 - Present

Neuberger Berman BD LLC (NEW YORK NY)

NY

02/29/2008 - 03/22/2012

J.P. MORGAN CLEARING CORP. (BROOKLYN NY)

NY

07/11/2005 - 12/31/2008

J.P.MORGAN SECURITIES INC. (BROOKLYN NY)

NY

01/05/1999 - 05/31/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

11/21/1997 - 07/08/1998

BRIARWOOD INVESTMENT COUNSEL (NEW YORK NY)

NY

08/27/1996 - 11/21/1997

MAIDSTONE FINANCIAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/05/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/1996

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 Lisa Anne Ricca.
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