AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JW

John W. Waelti

ALLIANCEBERNSTEIN INVESTMENTS
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 3106605
JW

Professional summary

John William Waelti, who also goes by John W. Waelti, John Waelti, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John W. Waelti | John Waelti

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) - BD

Click below to view John William Waelti'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®
None

Experience

Current

August 25, 2022 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203
BD
CRD#: 14549
Nashville, TN
Past

April 24, 2020 - August 6, 2021

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

August 19, 2019 - December 2, 2019

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

October 18, 2002 - September 30, 2004

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

August 21, 1998 - August 14, 2000

LUTHERAN BROTHERHOOD SECURITIES CORP.

BD
CRD#: 4205
MINNEAPOLIS, MN

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: 11/20/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/17/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/29/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1998
General Securities Representative Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")PARENT OF REGISTRANT
ARCHARD, NOEL CHRISTIANHEAD OF ETF AND PORTFOLIO SOLUTIONS2563745
GESSNER, MARK ANDREWCHIEF EXECUTIVE OFFICER2447287
KRUEGER, GARY MICHAELDIRECTOR, CHIEF FINANCIAL OFFICER2840211
MANLEY, MARK RANDALLDIRECTOR AND CORPORATE SECRETARY1294370
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event5

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

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549Nashville, TN 37203

TRUST BUT VERIFY

Monitor John Waelti

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Eric Joseph Berner
Eric BernerAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
HENDERSONVILLE, TN
Thomas Adam Ennis
Thomas EnnisAdvisorCheck Check Mark
TRUIST ADVISORY SERVICES, INC.
IAR
RR
SUITE 620, TN
James Ralph Parker
James ParkerAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Franklin, TN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.