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MA

Michelle B. Adams

Some features on this profile are disabled
CRD#: 2996126
MA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michelle Bass Adams, who also goes by Michelle Rene Bass, was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 1998. Michelle had worked at 1 firm and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Rene Bass

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 10, 1998 - June 22, 1999

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/1998
General Securities Representative Examination

Current Firm

SC
SANFORD C. BERNSTEIN & CO., INC.
SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232 / SEC#: , 8-14562

BD
Terminated by SEC on 02/16/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/20/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SANFORD C. BERNSTEIN INC.SHAREHOLDER
ADELSON, ANDREW SCOTTDIRECTOR/ SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-INTERNATIONAL1102364
BORGIA, MICHAEL THOMASSENIOR VICE PRESIDENT-OPERATIONS1054864
BRINE, KEVIN RICHARDDIRECTOR/ SENIOR VICE PRESIDENT, GLOBAL ASSET MANAGEMENT SERVICES1010623
CAHN, CHARLES C JRDIRECTOR/ SENIOR VICE PRESIDENT/ DIRECTOR OF GLOBAL FIXED INCOME1367986
FEDAK, MARILYN GOLDSTEINDIRECTOR/SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-U.S. EQUITIES1272450
FRIED, ARTHUR WILLIAMDIRECTOR3185366
GOLDSTEIN, MICHAEL LEWISDIRECTOR/SENIOR VICE PRESIDENT/CHIEF INVEST. STRATEGIST1661076
HERTOG, ROGERDIRECTOR/PRESIDENT/CHIEF OPERATING OFFICER244347
HEXNER, THOMAS STEVENDIRECTOR/ SENIOR VICE PRESIDENT, PRIVATE CLIENT SERVICES1376024
LIEBERMAN, GERALD MDIRECTOR/SENIOR VICE PRESIDENT, FINANCE AND ADMINISTRATION/CHIEF FINANCIAL OFFICER3139548
MAYER, MARC ORLANSDIRECTOR/SENIOR VICE PRESIDENT/SENIOR MANAGING DIRECTOR-INSTL SVCS2120110
REID, JEAN MARGODIRECTOR/ SENIOR VICE PRESIDENT/ GENERAL COUNSEL/ SECRETARY2121726
SANDERS, LEWIS ALANCHAIRMAN/ CEO/DIRECTOR410202
SHINE, CATHLEEN FARRELLDIRECTOR OF COMPLIANCE2556020
TRAINER, FRANCIS HENRY JRDIRECTOR/ SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER-FIXED INCOME711580

Disclosures

Regulatory Event1

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.

Company Information

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

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