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Caroline F Dupont

Alliancebernstein L.P.

San Diego, CA

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Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-10-04
CA RA APPROVED 2023-03-13
  • TX RA
    APPROVED
    Since 2023-10-04
  • CA RA
    APPROVED
    Since 2023-03-13

Branch Locations

4365 Executive Drive - 7Th Flr. Suite 700, San Diego, CA 92121 • 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
The Mather Group Llc Chicago IL 01/2019 06/2019
Astraeus Advisors Llc Park Ridge IL 06/2017 12/2018
Pinnacle Corporate Real Estate Advisory Services Clayton MO 05/2015 05/2017
Nick'S Pub St Louis MO 02/2017 03/2017
Szent Benedek - Balatonfüred Röplabda Akadémia Balatonfüred 09/2019 03/2020
Alliancebernstein, Lp San Diego CA 05/2020 Present
  • 01/2019 → 06/2019
    The Mather Group Llc
    Chicago, IL
  • 06/2017 → 12/2018
    Astraeus Advisors Llc
    Park Ridge, IL
  • 05/2015 → 05/2017
    Pinnacle Corporate Real Estate Advisory Services
    Clayton, MO
  • 02/2017 → 03/2017
    Nick'S Pub
    St Louis, MO
  • 09/2019 → 03/2020
    Szent Benedek - Balatonfüred Röplabda Akadémia
    Balatonfüred
  • 05/2020 → Present
    Alliancebernstein, Lp
    San Diego, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-10-15
  • S63 Uniform Securities Agent State Law Examination
    2020-10-15
Designations

View on SEC IAPD

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Other Investors

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Arben Qirjazi
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JAMES T FARLEY
ASHLEY LYNN TESTER
Megan Polizzi

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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