David A. Liles
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.
David Allen Liles was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2024 - January 10, 2025
BERNSTEIN INSTITUTIONAL SERVICES LLC
March 21, 2003 - April 8, 2024
SANFORD C. BERNSTEIN & CO., LLC
January 9, 2001 - March 11, 2003
BNP PARIBAS SECURITIES CORP.
April 3, 2000 - January 9, 2001
BNP PARIBAS BROKERAGE SERVICES, INC.
September 23, 1997 - March 31, 2000
D.E. SHAW SECURITIES, L.L.C.
August 5, 1997 - August 27, 1997
D.E. SHAW SECURITIES, L.L.C.
May 27, 1997 - August 12, 1997
CREDIT SUISSE SECURITIES (USA) LLC
August 9, 1996 - May 27, 1997
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 20, 1994 - July 24, 1996
LATTICE TRADING, INC.
March 22, 1988 - June 9, 1988
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
BERNSTEIN INSTITUTIONAL SERVICES LLC
CRD#: 317807 / SEC#: 801-129468, 8-71053
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
BERNSTEIN INSTITUTIONAL SERVICES LLC
CRD#: 317807 / SEC#: 801-129468, 8-71053
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERNSTEIN NORTH AMERICA HOLDINGS LLC | SOLE LLC MEMBER | |
| BERTAN, LAURENCE HUGH | CHIEF COMPLIANCE OFFICER | 2332647 |
| HEATH, THOMAS | PRINCIPAL OPERATIONS OFFICER | 2892153 |
| KEYES-GREVELIS, STEPHEN N | HEAD OF SALES | 4273925 |
| MCGRANAHAN, COLIN A | HEAD OF RESEARCH | 4378110 |
| MORGAN, SCOTT THOMAS | HEAD OF TRADING | 2578628 |
| RHEE, KIHO | CHIEF FINANCIAL OFFICER / FINOP | 2827794 |
| VAN BRUGGE, ROBERT PIETER | CHIEF EXECUTIVE OFFICER | 4610799 |
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.
