Sue Ann Caplan

Current Employers

Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-06-29
DC	RA	APPROVED	2022-05-12
TX	RA	APPROVED_RES	2017-06-07
FL	RA	APPROVED	2016-05-20

NY RA
APPROVED

Since 2022-06-29
DC RA
APPROVED

Since 2022-05-12
TX RA
APPROVED_RES

Since 2017-06-07
FL RA
APPROVED

Since 2016-05-20

Branch Locations

New York, NY • United States

66 Hudson Boulevard East, New York, NY 10001 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sanford C. Bernstein & Co., Llc	New York	NY	09/2007	Present

09/2007 → Present

Sanford C. Bernstein & Co., Llc

New York, NY

Previous Registrations

2006-10-23 → 2007-09-11

Neuberger Berman Bd Llc

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-06-28
S66	Uniform Combined State Law Examination	2006-10-20
S63	Uniform Securities Agent State Law Examination	1987-06-10

S65 Uniform Investment Adviser Law Examination

2022-06-28
S66 Uniform Combined State Law Examination

2006-10-20
S63 Uniform Securities Agent State Law Examination

1987-06-10