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Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-12-12
  • MA RA
    APPROVED
    Since 2023-12-12

Branch Locations

53 State Street, Suite 3801, Boston, MA 02109 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foreside Fund Services, Llc Newton MA 08/2013 06/2017
Rafferty Asset Management, Llc Boston MA 08/2006 05/2022
Rafferty Capital Markets, Llc Newton MA 06/2017 03/2022
Foreside Fund Services, Llc Boston MA 03/2022 05/2022
Hub Strategic Partners Swampscott MA 06/2022 07/2023
Bernstein Private Wealth Boston MA 08/2023 Present
  • 08/2013 → 06/2017
    Foreside Fund Services, Llc
    Newton, MA
  • 08/2006 → 05/2022
    Rafferty Asset Management, Llc
    Boston, MA
  • 06/2017 → 03/2022
    Rafferty Capital Markets, Llc
    Newton, MA
  • 03/2022 → 05/2022
    Foreside Fund Services, Llc
    Boston, MA
  • 06/2022 → 07/2023
    Hub Strategic Partners
    Swampscott, MA
  • 08/2023 → Present
    Bernstein Private Wealth
    Boston, MA
Previous Registrations
  • 2003-08-29 → 2006-08-04
    A. G. Edwards & Sons, Inc.
    Chelmsford, MA
    Chelmsford, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-25
S66 Uniform Combined State Law Examination 2003-06-23
S63 Uniform Securities Agent State Law Examination 2001-12-06
  • S65 Uniform Investment Adviser Law Examination
    2023-08-25
  • S66 Uniform Combined State Law Examination
    2003-06-23
  • S63 Uniform Securities Agent State Law Examination
    2001-12-06

View on SEC IAPD

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