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Thomas Scott Roffers

Alliancebernstein L.P.

St. Louis Park, MN

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Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-05
MN RA APPROVED 2024-01-10
  • TX RA
    APPROVED
    Since 2024-09-05
  • MN RA
    APPROVED
    Since 2024-01-10

Branch Locations

1601 Utica Avenue South, St. Louis Park, MN 55416 • 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
Sikich Financial Springfield IL 05/2015 07/2017
The Johnston Group Minneapolis MN 07/2017 03/2019
Creative Planning Overland Park KS 04/2019 08/2023
Ab Bernstein Minneapolis MN 11/2023 Present
  • 05/2015 → 07/2017
    Sikich Financial
    Springfield, IL
  • 07/2017 → 03/2019
    The Johnston Group
    Minneapolis, MN
  • 04/2019 → 08/2023
    Creative Planning
    Overland Park, KS
  • 11/2023 → Present
    Ab Bernstein
    Minneapolis, MN
Previous Registrations
Other Businesses

Personal Rental Property: Minneapolis, MN; not investment related; Owner of rental property; start 6.1.22; 1 hour per month/0 hours during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-01-26
S65 Uniform Investment Adviser Law Examination 2016-04-05
  • S63 Uniform Securities Agent State Law Examination
    2024-01-26
  • S65 Uniform Investment Adviser Law Examination
    2016-04-05
Designations
Other Names
  • Thomas Roffers

View on SEC IAPD

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