Jose Garcia is a registered investment advisor at Neuberger Berman Bd LLC, based in New York, NY, with 24 years of industry experience. Jose 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
1290 Avenue of the Americas, New York, NY, 10104
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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
January 2012 - Present · 14 yrs 6 mos
Neuberger Berman Bd LLC
December 2011 - Present · 14 yrs 7 mos
Neuberger Berman Bd LLCBroker
December 2011 - Present · 14 yrs 7 mos
Previous Registrations
Goldman, Sachs & CO.Broker
March 2010 - December 2011 · 1 yr 9 mos
Alliancebernstein L.P.
July 2006 - March 2010 · 3 yrs 8 mos
Alliancebernstein Investments, INC.Broker
July 2006 - March 2010 · 3 yrs 8 mos
Banc of America Investment Services, INC.
September 2005 - July 2006 · 10 mos
Banc of America Investment Services, INC.Broker
March 2005 - July 2006 · 1 yr 4 mos
Citicorp Investment ServicesBroker
September 2002 - March 2005 · 2 yrs 6 mos
Capital Brokerage CorporationBroker
December 2001 - August 2002 · 8 mos
State Registrations7 states
ALAZCAFLMANYTX
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.