Dwight P. Cornell
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.
Dwight Paul Cornell was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1986. Dwight had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1999 - September 9, 2021
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 4, 1998 - October 5, 1999
GOLDMAN SACHS & CO. LLC
June 27, 1995 - November 4, 1998
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
January 29, 1986 - June 29, 1995
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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