Sofia Rivas is a registered investment advisor at Neuberger Berman Bd LLC, based in Brooklyn, NY, with 4 years of industry experience. Sofia 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
Brooklyn, NY
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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
October 2024 - Present · 1 yr 7 mos
Neuberger Berman Bd LLC
December 2022 - Present · 3 yrs 5 mos
Neuberger Berman Bd LLCBroker
December 2022 - Present · 3 yrs 5 mos
Previous Registrations
Pimco Investments LLCBroker
June 2020 - February 2022 · 1 yr 8 mos
State Registrations1 state
NY
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.