Thomas L. Piper
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.
Thomas Laurence Piper, who also goes by Thomas Laurence Piper III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 000, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - January 16, 2019
ALLIANCEBERNSTEIN L.P.
January 9, 2014 - January 16, 2019
SANFORD C. BERNSTEIN & CO., LLC
January 2, 2013 - December 12, 2013
IMST DISTRIBUTORS, LLC
January 7, 2011 - December 31, 2012
GRAND DISTRIBUTION SERVICES, LLC
February 2, 2005 - December 31, 2010
W. P. STEWART SECURITIES LLC
September 8, 2003 - January 10, 2005
THE NASSAU GROUP, INC.
March 4, 2002 - August 21, 2002
CITICORP INVESTMENT SERVICES
June 29, 1998 - July 20, 2000
UBS SECURITIES LLC
June 28, 1982 - April 15, 1985
DILLON, READ SECURITIES INC.
November 16, 1981 - June 29, 1998
SBC WARBURG DILLON READ INC.
May 30, 1974 - November 15, 1981
ROTHSCHILD & CO US INC.
January 25, 1972 - March 13, 1974
HAYDEN STONE INC.
March 24, 1966 - March 9, 1972
HAYDEN STONE 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
Exams
Series 000
Date: 10/24/1966
General Securities Principal ExaminationSeries 1
Date: 9/7/1962
Registered Representative ExaminationSeries 8
Date: 5/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 5/1/1972
Registered Principal ExaminationCurrent 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
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.
