AR
Anita K. Rausch
ALLIANCEBERNSTEIN INVESTMENTS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2863253
AR
Professional summary
Anita K Rausch, who also goes by Anita Kelly Rausch, Anita Kelly Schindelheim, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
Anita is registered as a RR (Registered Representative) and started their career in finance in 2001. Anita has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anita Kelly Rausch | Anita Kelly Schindelheim
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 Anita K Rausch'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
June 15, 2022 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001BD
CRD#: 14549
NEW YORK, NY
Past
February 24, 2015 - May 20, 2022
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New York, NY
Past
January 17, 2013 - December 31, 2014
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
NEW YORK, NY
Past
October 13, 2009 - July 6, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 2, 2001 - February 13, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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(6/15/2022)
RR
Alaska(6/15/2022)
RR
Arizona(6/15/2022)
RR
Arkansas(6/15/2022)
RR
California(6/15/2022)
RR
Colorado(6/15/2022)
RR
Connecticut(6/15/2022)
RR
Delaware(6/15/2022)
RR
District of Columbia(6/15/2022)
RR
Florida(6/15/2022)
RR
Georgia(6/15/2022)
RR
Hawaii(6/15/2022)
RR
Idaho(6/15/2022)
RR
Illinois(6/15/2022)
RR
Indiana(6/15/2022)
RR
Iowa(6/15/2022)
RR
Kansas(6/15/2022)
RR
Kentucky(6/15/2022)
RR
Louisiana(6/15/2022)
RR
Maine(6/15/2022)
RR
Maryland(6/15/2022)
RR
Massachusetts(6/15/2022)
RR
Michigan(6/15/2022)
RR
Minnesota(6/15/2022)
RR
Mississippi(6/15/2022)
RR
Missouri(6/15/2022)
RR
Montana(6/16/2022)
RR
Nebraska(6/15/2022)
RR
Nevada(6/15/2022)
RR
New Hampshire(6/15/2022)
RR
New Jersey(6/15/2022)
RR
New Mexico(6/15/2022)
RR
New York(6/15/2022)
RR
North Carolina(6/15/2022)
RR
North Dakota(6/15/2022)
RR
Ohio(6/16/2022)
RR
Oklahoma(6/15/2022)
RR
Oregon(6/15/2022)
RR
Pennsylvania(6/15/2022)
RR
Puerto Rico(6/15/2022)
RR
Rhode Island(6/15/2022)
RR
South Carolina(6/15/2022)
RR
South Dakota(6/15/2022)
RR
Tennessee(6/15/2022)
RR
Texas(6/15/2022)
RR
Utah(6/15/2022)
RR
Vermont(6/15/2022)
RR
Virgin Islands(6/15/2022)
RR
Virginia(6/15/2022)
RR
Washington(6/15/2022)
RR
West Virginia(6/15/2022)
RR
Wisconsin(6/15/2022)
RR
Wyoming(6/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/26/2002
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.
CRD#: 14549 / SEC#: , 8-30851
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 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
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.
