Sue A. Caplan

ALLIANCEBERNSTEIN L.P.

NEW YORK, NY 10001

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CRD#: 1643660

Professional summary

Sue Ann Caplan is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in New York, New York and SANFORD C. BERNSTEIN & CO., LLC located in New York, New York.

Sue is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Sue has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Sue Ann Caplan'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

September 25, 2007 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 66 Hudson Boulevard East, New York, NY 10001

RIA

CRD#: 108477

NEW YORK, NY

Current

September 25, 2007 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 66 Hudson Boulevard East, New York, NY 10001

RIA

CRD#: 104474

NEW YORK, NY

Past

October 23, 2006 - September 11, 2007

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

September 5, 2006 - September 11, 2007

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

August 6, 1991 - July 5, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 24, 1987 - July 23, 1991

MARTIN SIMPSON & COMPANY, INC.

CRD#: 6486

NEW YORK, NY

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".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(7/22/2009)

California
(7/22/2009)

Connecticut
(1/18/2008)

District of Columbia
(2/9/2012)

IAR

District of Columbia
(5/12/2022)

Florida
(10/3/2008)

IAR

Florida
(5/20/2016)

Georgia
(9/13/2016)

Hawaii
(7/12/2017)

Maryland
(8/21/2015)

Massachusetts
(10/3/2008)

Minnesota
(7/8/2018)

New Jersey
(7/30/2008)

New York
(9/25/2007)

IAR

New York
(6/29/2022)

Pennsylvania
(10/3/2008)

IAR

Texas
(6/7/2017)

Texas
(6/11/2017)

Virginia
(1/27/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/28/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/20/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/10/1987

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: 12/14/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

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

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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

Sue A. Caplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sue Ann Caplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

J.P. MORGAN SECURITIES LLC

MARTIN SIMPSON & COMPANY, INC.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2022

Series 66

Date: 10/20/2006

Series 63

Date: 6/10/1987

SIE

Date: 10/1/2018

Series 31

Date: 12/14/2007

Series 7

Date: 3/21/1987

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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