Sue Ann Caplan
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
Contact Information
Main Address
501 Commerce Street, Nashville, TN 37203Phone Number
(615) 622-0000# of Employees
4,204SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
75,956AUM (Assets Under Management)
$763,401,000,000Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | Cover Page | Report |
| 11/25/2024 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
State Registrations and Notice Filings
(7/22/2009)
(7/22/2009)
(3/13/2026)
(1/18/2008)
(1/14/2026)
(2/9/2012)
(5/12/2022)
(10/3/2008)
(5/20/2016)
(9/13/2016)
(7/12/2017)
(1/13/2026)
(8/21/2015)
(10/3/2008)
(1/15/2026)
(7/8/2018)
(7/30/2008)
(9/25/2007)
(6/29/2022)
(1/15/2026)
(10/3/2008)
(1/14/2026)
(1/27/2026)
(6/7/2017)
(6/11/2017)
(1/13/2026)
(1/27/2009)
(1/14/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sue Ann Caplan's CRS (Customer Relationship Summary).
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