Sean Mcfarland

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CRD#: 1282198

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sean Mcfarland was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1984. Sean had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 18, 2007 - July 21, 2023

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

March 16, 1999 - May 9, 2007

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 28, 1998 - April 13, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

March 11, 1997 - May 28, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 14, 1988 - December 19, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 15, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 26, 1984 - December 19, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SANFORD C. BERNSTEIN & CO., LLC

AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN

CRD#: 104474 / SEC#: 801-57937, 8-52942

RIA

Registered Investment Advisory firm - SEC (9/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/26/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/5/1983

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 9/15/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/15/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

SANFORD C. BERNSTEIN & CO., LLC

AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN

CRD#: 104474 / SEC#: 801-57937, 8-52942

RIA

Registered Investment Advisory firm - SEC (9/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

501 Commerce Street, Nashville, TN 37203

Phone number

(800) 251-0539

Established

Delaware since 08/16/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INSTITUTIONAL RESEARCH SERVICES BROCHURE (3/28/2025)

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE CAPITAL MANAGEMENT LLC	SOLE LLC MEMBER
EISENBERG, STEVEN MICHAEL	HEAD OF BUSINESS DEVELOPMENT	2963027
KRUEGER, GARY MICHAEL	CHIEF FINANCIAL OFFICER AND DIRECTOR	2840211
MEYERS, RICHARD EDWARD	CHIEF EXECUTIVE OFFICER	4453533
PURCELL, KEITH ANDREW	PRINCIPAL OPERATIONS OFFICER	4228391
WRIGHT, DANIEL EUGENE	CHIEF COMPLIANCE OFFICER	2204732

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 1,648,000,000

Disclosures

Regulatory Event	31
Arbitration	4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sean Mcfarland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

SANFORD C. BERNSTEIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1984

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/26/1999

Series 7

Date: 7/21/1984

Series 3

Date: 10/5/1983

Series 10

Date: 9/15/2004

Series 9

Date: 9/15/2004

Current Firm

SANFORD C. BERNSTEIN & CO., LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANFORD C. BERNSTEIN & CO., LLC

TRUST BUT VERIFY

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