AB
Aaron M. Bates
ALLIANCEBERNSTEIN L.P.
BOSTON, MA 02109
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CRD#: 3220268
AB
Professional summary
Aaron M. Bates, who also goes by Aaron Michael Bates, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Boston, Massachusetts and SANFORD C. BERNSTEIN & CO., LLC located in Boston, Massachusetts.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Aaron has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Michael Bates
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.
StoryCorps; Not Investment Related; Board of Directors; Not for profit Mission: StoryCorps' mission is to preserve and share humanity's stories to build connections between people and create a more just and compassionate world. We do this to remind one another of our shared humanity, to strengthen and build connections between people, to teach the value of listening, and to weave into the fabric of our culture the understanding that everyone's story matters. At the same time we are creating an invaluable archive for future generations.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron M. Bates'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
July 10, 2009 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 53 State Street 21st Floor, Boston, MA, 02109RIA
CRD#: 108477
BOSTON, MA
Current
December 7, 2000 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 53 State Street Suite 3801, Boston, MA 02109RIA
BD
CRD#: 104474
Boston, MA
Past
May 11, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
Registered Investment Advisory firm - (8/13/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/7/2011)
RR
California(7/20/2009)
RR
Colorado(7/14/2011)
RR
Connecticut(7/15/2009)
RR
Delaware(7/15/2009)
RR
District of Columbia(12/7/2000)
RR
Florida(2/24/2009)
IAR
Florida(7/16/2014)
RR
Hawaii(2/5/2016)
RR
Illinois(1/31/2014)
RR
Indiana(9/28/2018)
RR
Louisiana(5/23/2016)
RR
Maine(7/15/2009)
RR
Maryland(2/13/2014)
RR
Massachusetts(7/10/2009)
IAR
Massachusetts(7/10/2009)
RR
Minnesota(4/8/2010)
RR
Montana(5/24/2024)
RR
Nevada(3/2/2017)
RR
New Hampshire(7/15/2009)
RR
New Jersey(2/5/2016)
RR
New York(7/10/2009)
IAR
New York(5/7/2021)
RR
North Carolina(2/4/2014)
RR
Ohio(11/24/2014)
RR
Oregon(1/5/2015)
RR
Pennsylvania(7/20/2009)
RR
Rhode Island(1/31/2014)
RR
South Dakota(12/23/2016)
RR
Tennessee(8/4/2020)
RR
Texas(1/31/2014)
IAR
Texas(2/3/2014)
RR
Vermont(2/19/2016)
RR
Virgin Islands(12/16/2013)
RR
Virginia(1/31/2014)
IAR
Virginia(1/31/2014)
RR
Washington(1/31/2014)
RR
Wisconsin(9/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
Registered Investment Advisory firm - (8/13/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
Phone number
(615) 622-0000
Established
Firm type
Fiscal year end
# of Employees
3,994
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALLIANCEBERNSTEIN L.P.
CRD#: 108477Boston, MA 02109TRUST BUT VERIFY
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