Thomas Heath
Professional Summary
Thomas Heath, who also goes by Tom Heath, is a registered financial advisor currently at BERNSTEIN INSTITUTIONAL SERVICES LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Heath
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
BERNSTEIN INSTITUTIONAL SERVICES LLC
Contact Information
Main Address
245 Park Ave, New York, NY 10167Mailing Address
245 Park Ave, New York, NY 10167Phone Number
(917) 344-8600Established
Delaware since 10/15/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
282FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANFORD C BERNSTEIN HOLDINGS LTD | SOLE LLC MEMBER | — |
| BERTAN, LAURENCE HUGH | CHIEF COMPLIANCE OFFICER | 2332647 |
| HEATH, THOMAS | PRINCIPAL OPERATIONS OFFICER | 2892153 |
| KEYES-GREVELIS, STEPHEN N | HEAD OF SALES | 4273925 |
| MCGRANAHAN, COLIN A | HEAD OF RESEARCH | 4378110 |
| MORGAN, SCOTT THOMAS | HEAD OF TRADING | 2578628 |
| RUFFINO, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER / FINOP | 7514157 |
| VAN BRUGGE, ROBERT PIETER | CHIEF EXECUTIVE OFFICER | 4610799 |
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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.
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Primary Firm SEC Registration
BERNSTEIN INSTITUTIONAL SERVICES LLC
State Registrations and Notice Filings
(1/13/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2004SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Heath's CRS (Customer Relationship Summary).
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