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Nicholas R Daniel Guaglardi

Alliancebernstein L.P.

Tampa, FL

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Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-09-01
NY RA APPROVED 2021-05-07
FL RA APPROVED 2020-09-11
  • TX RA
    APPROVED_RES
    Since 2022-09-01
  • NY RA
    APPROVED
    Since 2021-05-07
  • FL RA
    APPROVED
    Since 2020-09-11

Branch Locations

101 East Kennedy Blvd. 32Nd Floor, Tampa, FL 33602 • 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
Ab Bernstein New York NY 06/2016 Present
  • 06/2016 → Present
    Ab Bernstein
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-11
S63 Uniform Securities Agent State Law Examination 2016-10-12
  • S65 Uniform Investment Adviser Law Examination
    2020-02-11
  • S63 Uniform Securities Agent State Law Examination
    2016-10-12

View on SEC IAPD

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