AB
CFA
AB
CFA
Ashok Bhatia is a CFA-designated registered investment advisor at Neuberger Berman Bd LLC, based in Chicago, IL, with 9 years of industry experience. Ashok operates on a fee-only basis, meaning they do not earn commissions from product sales.
Compensation
Fee-Only (% of Portfolio)
Firm Size
837 advisors
IM Fee
Planning only
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Location
190 South Lasalle Street, 23rd & 24th & 27th Floor, Chicago, IL, 60603
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Neuberger Berman Bd LLC
June 2018 - Present · 8 yrs 1 mo
Neuberger Berman Bd LLCBroker
June 2018 - Present · 8 yrs 1 mo
Neuberger Berman Bd LLC
April 2018 - Present · 8 yrs 3 mos
Previous Registrations
Reliant TradingBroker
August 2005 - July 2007 · 1 yr 11 mos
Shepherd Trading LimitedBroker
August 2005 - March 2007 · 1 yr 7 mos
State Registrations2 states
ILNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.