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Detailed Report
Joseph Thomas Haag
CRD#: 4920331
IA
Investment Adviser
B
Broker
NEUBERGER BERMAN BD LLCCRD#: 2908 190 SOUTH LASALLE STREET
23RD & 24TH & 27TH FLOOR
CHICAGO, IL 60603
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2012 (5 years)2 FIRMS2022 - Present (2 years)IAVCP5, CORP. (CRD# 173180)2015 - 2015 (<1 year)
License(s)

State Registrations

IA
Illinois 9/14/2022
B
Illinois 1/6/2023

SRO Registrations

B
 FINRA
B
 Nasdaq ISE, LLC
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
NEUBERGER BERMAN BD LLC (CRD#:2908)
190 SOUTH LASALLE STREET 23RD & 24TH & 27TH FLOOR, CHICAGO, IL 60603
CHICAGO, IL
Registered with this firm since 10/14/2022
IA
NEUBERGER BERMAN BD LLC (CRD#:2908)
190 SOUTH LASALLE STREET 23RD & 24TH & 27TH FLOOR, CHICAGO, IL 60603
CHICAGO, IL
Registered with this firm since 9/14/2022
Previous Registration(s)
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IA
 01/02/2015 - 04/14/2015 VCP5, CORP. (CRD#:173180) FORT LAUDERDALE, FL
IA
 10/06/2006 - 09/18/2012 ALLIANCEBERNSTEIN L.P. (CRD#:108477) NEW YORK, NY
B
 10/09/2006 - 09/18/2012 ALLIANCEBERNSTEIN INVESTMENTS, INC. (CRD#:14549) NEW YORK, NY
IA
 05/03/2005 - 10/03/2006 ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC (CRD#:108057) STAMFORD, CT
B
 03/08/2005 - 10/03/2006 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (CRD#:25567) STAMFORD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.