Joseph P. Egan
Professional summary
Joseph Patrick Egan, who also goes by Joe Egan, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Los Angeles, California and SANFORD C. BERNSTEIN & CO., LLC located in Los Angeles, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Egan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2000 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1999 Avenue Of The Stars Suite 2150, Los Angeles, CA 90067December 7, 2000 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1999 Avenue Of The Stars, Suite 2150, Los Angeles, CA 90067March 6, 1995 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2000)
(8/2/2000)
(12/7/2000)
(7/15/2019)
(12/7/2000)
(10/31/2013)
(1/31/2001)
(3/31/2015)
(11/5/2015)
(7/23/2014)
(2/1/2001)
(1/3/2002)
(10/18/2006)
(10/22/2010)
(10/23/2019)
(3/27/2017)
(10/20/2022)
(3/26/2003)
(1/28/2002)
(10/21/2013)
(4/6/2021)
(8/21/2013)
(8/12/2004)
(1/28/2002)
Exams
Series 8
Date: 7/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
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
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