Role at Neuberger Berman Investment Advisers
- Title on Schedule A
- Director, President & Chief Investment Officer - Fixed Income
- Control
- Ashok Bhatia is a control person of Neuberger Berman Investment Advisers.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Ashok Bhatia has held the filed role since January 2025.
The firm
Form ADV filed 24 September 2026
Career on record
- Passed Series 24 and Series 3 · 2024
- Passed Series 7, SIE and Series 63 · 2018
- Neuberger Berman Bd LLCCurrent– present · 8 yearsWinnetka, IL · Adviser representative and broker · Firm CRD 2908
- Neuberger Berman Bd LLCCurrent– present · 9 years, · Adviser representative · Firm CRD 2908
- Passed Series 55 · 2005
Registrations and exams
Ashok Bhatia has a current investment-adviser registration in Illinois and New York and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Illinois | Investment adviser representative | Approved | 5 April 2018 |
| New York | Investment adviser representative | Approved | 29 March 2021 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 November 2018 |
| Series 24 | General Securities Principal Examination | 16 December 2024 |
| Series 3 | National Commodity Futures Examination | 23 December 2024 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 28 June 2018 |
| Series 55 | Limited Representative-Equity Trader Exam | 31 October 2005 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Limited Representative-Equity Trader Exam
Individual record
- Full name
- Ashok Kumar Bhatia
- CRD
- 2378849
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Ashok Bhatia work?
Ashok Bhatia has been Director, President & Chief Investment Officer - Fixed Income of Neuberger Berman Investment Advisers LLC since January 2025, and is a control person of the firm.
Is Ashok Bhatia a financial advisor?
Yes. Ashok Bhatia has a current investment-adviser registration in Illinois and New York, as of 17 October 2026.
How many years of experience does Ashok Bhatia have?
Ashok Bhatia has worked in the financial industry for 10 years as of 17 October 2026, counted from 22 May 2016, across 1 adviser firm.
What exams has Ashok Bhatia passed?
Ashok Bhatia has passed 6 licensing exams: the Series 55, Series 7, SIE, Series 63, Series 24 and Series 3. The earliest, the Series 55, was passed in October 2005.
Leadership at Neuberger Berman Investment Advisers
- Joseph AmatoDirector, President & Chief Investment Officer - Equities
- Brad CetronChief Compliance Officer - Head of Compliance and Managing Director
- Michael ChinniTreasurer
- Kenneth deRegtDirector
- John KramerDirector
- Leo ViolaController
- Stephen WrightDirector, Managing Director