Zalman C. Bernstein
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.
Zalman Chaim Bernstein, who also goes by Sanford Charles Bernstein, was a registered financial professional .
Zalman is a previously registered financial professional and started their career in finance in 1967. Zalman had worked at 1 firm and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 1967 - January 11, 1999
SANFORD C. BERNSTEIN & CO., INC.
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 1
Date: 1/18/1960
Registered Representative ExaminationSeries 00
Date: 4/22/1966
General Securities Principal ExaminationCurrent Firm
SANFORD C. BERNSTEIN & CO., INC.
CRD#: 1232 / SEC#: , 8-14562
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANFORD C. BERNSTEIN INC. | SHAREHOLDER | |
| ADELSON, ANDREW SCOTT | DIRECTOR/ SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-INTERNATIONAL | 1102364 |
| BORGIA, MICHAEL THOMAS | SENIOR VICE PRESIDENT-OPERATIONS | 1054864 |
| BRINE, KEVIN RICHARD | DIRECTOR/ SENIOR VICE PRESIDENT, GLOBAL ASSET MANAGEMENT SERVICES | 1010623 |
| CAHN, CHARLES C JR | DIRECTOR/ SENIOR VICE PRESIDENT/ DIRECTOR OF GLOBAL FIXED INCOME | 1367986 |
| FEDAK, MARILYN GOLDSTEIN | DIRECTOR/SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-U.S. EQUITIES | 1272450 |
| FRIED, ARTHUR WILLIAM | DIRECTOR | 3185366 |
| GOLDSTEIN, MICHAEL LEWIS | DIRECTOR/SENIOR VICE PRESIDENT/CHIEF INVEST. STRATEGIST | 1661076 |
| HERTOG, ROGER | DIRECTOR/PRESIDENT/CHIEF OPERATING OFFICER | 244347 |
| HEXNER, THOMAS STEVEN | DIRECTOR/ SENIOR VICE PRESIDENT, PRIVATE CLIENT SERVICES | 1376024 |
| LIEBERMAN, GERALD M | DIRECTOR/SENIOR VICE PRESIDENT, FINANCE AND ADMINISTRATION/CHIEF FINANCIAL OFFICER | 3139548 |
| MAYER, MARC ORLANS | DIRECTOR/SENIOR VICE PRESIDENT/SENIOR MANAGING DIRECTOR-INSTL SVCS | 2120110 |
| REID, JEAN MARGO | DIRECTOR/ SENIOR VICE PRESIDENT/ GENERAL COUNSEL/ SECRETARY | 2121726 |
| SANDERS, LEWIS ALAN | CHAIRMAN/ CEO/DIRECTOR | 410202 |
| SHINE, CATHLEEN FARRELL | DIRECTOR OF COMPLIANCE | 2556020 |
| TRAINER, FRANCIS HENRY JR | DIRECTOR/ SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-FIXED INCOME | 711580 |
Disclosures
| Regulatory Event | 1 |
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.
