Kenneth I. Handler

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CRD#: 1302490

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.

Kenneth Irving Handler was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, 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

December 24, 2009 - January 25, 2023

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

Boston, MA

Past

November 5, 2009 - August 16, 2011

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

December 7, 2000 - October 9, 2009

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

BOSTON, MA

Past

July 8, 1997 - January 25, 2023

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

BOSTON, MA

Past

May 9, 1994 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

September 21, 1988 - October 31, 1994

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

April 10, 1986 - December 21, 1989

CIRCLE PROPERTIES,LTD.

CRD#: 14563

Past

October 26, 1984 - October 31, 1994

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

IAR

Series 65

Date: 7/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/29/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/31/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/13/2006

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kenneth I. Handler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLIANCEBERNSTEIN INVESTMENTS, INC.

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., INC.

HORNOR, TOWNSEND & KENT, LLC

CIRCLE PROPERTIES,LTD.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

SANFORD C. BERNSTEIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/1994

Series 63

Date: 3/5/1985

SIE

Date: 10/1/2018

Series 31

Date: 2/29/1996

Series 7

Date: 10/20/1984

Series 10

Date: 1/31/2006

Series 9

Date: 1/13/2006

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

Contact information

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