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RP

Ronald E. Pratt

ALLIANCEBERNSTEIN INVESTMENTS
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 1612514
RP

Professional summary

Ronald Eugene Pratt, who also goes by Ron Pratt, Ronald Pratt, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1987. Ronald has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Pratt | Ronald Pratt

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 Ronald Eugene Pratt's 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

June 21, 2023 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203
BD
CRD#: 14549
Nashville, TN
Past

November 11, 2005 - February 13, 2023

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

April 8, 2005 - November 1, 2005

JPMORGAN ASSET MANAGEMENT

RIA
CRD#: 107247
COLUMBUS, OH
Past

April 8, 2005 - November 1, 2005

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
NEW YORK, NY
Past

November 24, 2003 - December 17, 2004

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

November 21, 2003 - December 17, 2004

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

April 6, 1992 - October 16, 2003

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

April 29, 1987 - February 21, 1992

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

March 6, 1987 - May 18, 1987

TRANSAMERICA SECURITIES SALES CORPORATION

BD
CRD#: 17970
Past

January 30, 1987 - May 15, 1987

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(3/7/2024)
RR
Arkansas
(3/7/2024)
RR
Florida
(3/7/2024)
RR
Georgia
(6/21/2023)
RR
Louisiana
(3/7/2024)
RR
Mississippi
(3/7/2024)
RR
New Mexico
(3/7/2024)
RR
North Carolina
(3/7/2024)
RR
Oklahoma
(3/7/2024)
RR
Puerto Rico
(3/7/2024)
RR
South Carolina
(3/7/2024)
RR
Tennessee
(3/7/2024)
RR
Texas
(3/7/2024)
RR
Virgin Islands
(3/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/24/2004
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/22/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/23/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.

CRD#: 14549 / SEC#: , 8-30851

BD
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 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")PARENT OF REGISTRANT
ARCHARD, NOEL CHRISTIANHEAD OF ETF AND PORTFOLIO SOLUTIONS2563745
GESSNER, MARK ANDREWCHIEF EXECUTIVE OFFICER2447287
KRUEGER, GARY MICHAELDIRECTOR, CHIEF FINANCIAL OFFICER2840211
MANLEY, MARK RANDALLDIRECTOR AND CORPORATE SECRETARY1294370
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event5

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.

Company Information

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549Nashville, TN 37203

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