MH
Michael S. Hart
SANFORD C. BERNSTEIN & CO.
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 2205729
MH
Professional summary
Michael Sullivan Hart, who also goes by Mike Hart, is a registered financial professional currently at SANFORD C. BERNSTEIN & CO., LLC located in Nashville, Tennessee.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Hart
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Sullivan Hart'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
November 7, 2013 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 501 Commerce Street 24th Floor, Nashville, TN 37203RIA
BD
CRD#: 104474
Nashville, TN
Past
November 11, 1998 - November 11, 2013
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
October 2, 1995 - October 26, 1998
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
August 27, 1992 - June 26, 1994
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
BD
CRD#: 17580
BOSTON, MA
Past
April 2, 1992 - September 9, 1992
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 2, 1992 - September 9, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN
CRD#: 104474 / SEC#: 801-57937, 8-52942
RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(11/7/2013)
RR
Alaska(11/11/2013)
RR
Arizona(11/7/2013)
RR
Arkansas(11/7/2013)
RR
California(11/7/2013)
RR
Colorado(11/7/2013)
RR
Connecticut(11/7/2013)
RR
Delaware(11/7/2013)
RR
District of Columbia(11/7/2013)
RR
Florida(11/7/2013)
RR
Georgia(11/7/2013)
RR
Hawaii(11/7/2013)
RR
Idaho(11/7/2013)
RR
Illinois(11/7/2013)
RR
Indiana(11/11/2013)
RR
Iowa(11/7/2013)
RR
Kansas(11/7/2013)
RR
Kentucky(11/7/2013)
RR
Louisiana(11/7/2013)
RR
Maine(11/7/2013)
RR
Maryland(11/7/2013)
RR
Massachusetts(11/11/2013)
RR
Michigan(11/7/2013)
RR
Minnesota(11/7/2013)
RR
Mississippi(11/7/2013)
RR
Missouri(11/7/2013)
RR
Montana(11/7/2013)
RR
Nebraska(11/11/2013)
RR
Nevada(11/11/2013)
RR
New Hampshire(11/7/2013)
RR
New Jersey(11/7/2013)
RR
New Mexico(11/7/2013)
RR
New York(11/7/2013)
RR
North Carolina(11/12/2013)
RR
North Dakota(11/7/2013)
RR
Ohio(11/12/2013)
RR
Oklahoma(11/7/2013)
RR
Oregon(11/11/2013)
RR
Pennsylvania(11/11/2013)
RR
Puerto Rico(11/7/2013)
RR
Rhode Island(11/7/2013)
RR
South Carolina(11/7/2013)
RR
South Dakota(11/7/2013)
RR
Tennessee(2/10/2020)
RR
Texas(11/7/2013)
RR
Utah(11/11/2013)
RR
Vermont(11/7/2013)
RR
Virginia(11/11/2013)
RR
Washington(11/7/2013)
RR
West Virginia(11/11/2013)
RR
Wisconsin(11/7/2013)
RR
Wyoming(11/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN
CRD#: 104474 / SEC#: 801-57937, 8-52942
RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 08/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
0
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
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.
