James E. Switzer

SANFORD C. BERNSTEIN & CO.

Nashville, TN 37203

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CRD#: 1426086

Professional summary

James Edmund Switzer is a registered financial professional currently at SANFORD C. BERNSTEIN & CO., LLC located in Nashville, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) - BD

Click below to view James Edmund Switzer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 7, 2011 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 501 Commerce Street 24th Floor, Nashville, TN 37203

RIA

CRD#: 104474

Nashville, TN

Past

September 15, 2010 - April 5, 2011

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

May 24, 2002 - March 25, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 4, 2000 - May 15, 2002

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

January 5, 1995 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 24, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 24, 1991 - February 23, 1993

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

December 22, 1987 - September 9, 1991

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Tennessee
(2/17/2022)

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: 9/21/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/2001

General Securities Principal Examination

SRO Registrations

FINRA

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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James E. Switzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edmund Switzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SG AMERICAS SECURITIES, LLC

UBS SECURITIES LLC

BNP PARIBAS SECURITIES CORP.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

CHASE SECURITIES, INC.

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

SANFORD C. BERNSTEIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2010

Series 24

Date: 11/5/2001

FINRA

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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