Donna Joseph
Professional summary
Donna Joseph 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.
Donna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Donna has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Donna Joseph's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2008 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001December 7, 2000 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001May 3, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
April 7, 1999 - April 29, 1999
SANFORD C. BERNSTEIN & CO., INC.
November 17, 1997 - April 22, 1999
B. RILEY SECURITIES, 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
(11/2/2009)
(10/27/2008)
(2/9/2012)
(9/12/2008)
(9/8/2023)
(9/12/2008)
(9/12/2008)
(12/6/2013)
(1/14/2015)
(7/23/2009)
(4/20/2023)
(9/12/2008)
(1/27/2009)
(2/2/2022)
(9/8/2023)
(9/12/2008)
(12/7/2000)
(5/7/2021)
(8/8/2023)
(9/1/2020)
(8/3/2021)
(9/12/2008)
(9/8/2023)
(5/3/2022)
(9/12/2008)
(10/8/2023)
(7/18/2025)
(4/20/2015)
(4/22/2015)
(6/24/2021)
(5/22/2024)
Exams
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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