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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)21 years in industry

Joseph Thomas Haag

Advisor at NEUBERGER BERMAN BD LLC

CHICAGO, IL

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Search this name across graphsid dfx:ria:4aed8dd6-3a0e-7cb9-dc0a-86280bbff850

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 3, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEUBERGER BERMAN BD LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 29, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S63|S65
First exam: Apr 29, 2005
First registration: May 3, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4920331

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEUBERGER BERMAN BD LLC	No RAUM reported	Sep 14, 2022	n/a	yes	CHICAGO, IL\|CHICAGO, IL	Current employment
VCP5, CORP.	n/a	Jan 2, 2015	Apr 14, 2015	no	FORT LAUDERDALE, FL	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Oct 6, 2006	Sep 18, 2012	no	NEW YORK, NY\|NASHVILLE, TN\|NEW YORK, NY	Previous registration
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC	Former SEC adviser	May 3, 2005	Oct 3, 2006	no	STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VCP5, CORP.	NEUBERGER BERMAN BD LLC	Apr 14, 2015	Sep 14, 2022	2,710	Firm change after gap	Other
ALLIANCEBERNSTEIN L.P.	VCP5, CORP.	Sep 18, 2012	Jan 2, 2015	836	Firm change after gap	Other
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC	ALLIANCEBERNSTEIN L.P.	Oct 3, 2006	Oct 6, 2006	3	Firm change	Other

Relationships

Registered with (4)

→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: current employment
Sep 14, 2022 to presentfactForm ADV
→ VCP5, CORP.Registered adviserregistration: previous registration
Jan 2, 2015 to Apr 14, 2015factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Oct 6, 2006 to Sep 18, 2012factForm ADV
→ ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLCRegistered adviserregistration: previous registration
May 3, 2005 to Oct 3, 2006factForm ADV

Dated events

No dated event names this entity yet.