CP
Cynthia B. Plawker
ALLIANCEBERNSTEIN L.P.
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2143847
CP
Professional summary
Cynthia Beth Plawker, who also goes by Cynthia Beth Grodman, 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.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Cynthia has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cynthia Beth Grodman
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.
Count: 1
1) BusinessName: Epilepsy Foundation
INVESTMENT RELATED: No
ADDRESS: 3450 Crain Highway, Ste 675, Bowie, MD020716
NATURE OF BUSINESS: The mission of the Epilepsy Foundation is to improve the lives of people affected by epilepsy through education, advocacy, research, and connection. For more than five decades, the Epilepsy Foundation and its network of nearly 50 partners have helped to:
Connect people to treatment, support and resources;
Fund innovative research and the training of specialists; and
Educate the public about epilepsy and seizure first aid.
POSITION: Potential Board Member
RELATIONSHIP: 2025-09-12
APPROXIMATE NUMBER HOURS: 4 hours/month, 2 hours during trading hours
YOUR DUTIES: I am potentially be considered to be a Board member for the Foundation. As a Board member, I would be expected to do the following:
Duties of the Board
- Setting an actionable mission and an inspiring vision for the organization
- Hiring a chief executive, supporting their efforts, and evaluating their performance
- Ensuring the effectiveness of programs and services
- Helping to secure operating funds and providing ongoing financial oversight
- Managing and improving board performance. Meeting or exceeding legal and ethical standards and expectations
- Maximizing stakeholder and community support
- Staying up-to-date with the organization's programs, services, and policies
- Following developments in the field that may inform decision making
- Attending board and committee meetings as well as special events
- Reviewing meeting agendas, minutes, and materials related to discussions
- Serving on committees or task forces and taking on special assignments as needed
- Participating in reviews of financial statements
- Referring board nominees who could make significant contributions to the work of the board and the organization
- Making personal financial contributions to the organization
-Informing others about the organization
I am expected to give or help raise $10,000/year for the organization, participate in at least one Board Committee and attend 4 annual meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Beth Plawker's 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®
NoneExperience
Current
May 26, 1998 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001RIA
CRD#: 108477
NEW YORK, NY
Current
December 7, 2000 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001RIA
BD
CRD#: 104474
NEW YORK, NY
Past
July 25, 1991 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
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".
AL
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.RR
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
RR
Arizona(12/7/2000)
RR
California(12/7/2000)
RR
Colorado(12/7/2000)
RR
Connecticut(12/7/2000)
RR
Delaware(1/24/2003)
IAR
District of Columbia(5/26/1998)
RR
District of Columbia(12/7/2000)
RR
Florida(12/7/2000)
IAR
Florida(11/4/2013)
RR
Georgia(7/9/2004)
RR
Illinois(12/7/2000)
RR
Kansas(10/1/2001)
RR
Louisiana(7/14/2003)
RR
Massachusetts(12/7/2000)
RR
Missouri(12/7/2000)
RR
Nevada(5/29/2003)
RR
New Hampshire(6/25/2010)
RR
New Jersey(12/7/2000)
IAR
New Jersey(3/5/2019)
RR
New Mexico(7/3/2023)
RR
New York(12/7/2000)
IAR
New York(5/7/2021)
RR
North Carolina(12/7/2000)
RR
Ohio(12/7/2000)
RR
Pennsylvania(12/7/2000)
RR
Tennessee(3/29/2019)
RR
Texas(12/7/2000)
IAR
Texas(11/4/2013)
RR
Vermont(1/20/2022)
RR
Washington(1/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AL
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 10/27/2023 |
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.
