Zalman Chaim Bernstein
Professional Summary
Zalman Chaim Bernstein, who also goes by Sanford Charles Bernstein, was a registered financial advisor. Zalman was a previously registered financial professional and started their career in finance 1967 - 1999. Zalman had worked at 1 firm and has passed the Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sanford Charles Bernstein
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
66 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
SANFORD C. BERNSTEIN & CO., INC.
Contact Information
Established
New York since 01/20/1969Firm Type
CorporationFiscal Year End
DecemberDocuments
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
1Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jan 1960Series 00 — General Securities Principal Examination
Passed Apr 1966Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
