Steven P. Gonzalez
Professional summary
Steven Philip Gonzalez is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Chicago, Illinois and SANFORD C. BERNSTEIN & CO., LLC located in Chicago, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Philip Gonzalez's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2006 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606January 1, 2006 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606November 26, 1999 - March 28, 2000
SANFORD C. BERNSTEIN & CO., 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
(1/5/2015)
(8/11/2022)
(2/26/2007)
(10/4/2007)
(5/8/2006)
(9/24/2013)
(1/16/2006)
(1/16/2006)
(5/8/2006)
(5/8/2006)
(1/23/2007)
(10/14/2021)
(1/10/2024)
(1/7/2019)
(4/4/2025)
(5/8/2006)
(12/16/2021)
(10/4/2007)
(8/29/2006)
(3/23/2023)
(2/15/2018)
(3/5/2015)
(6/30/2011)
(8/19/2015)
(10/13/2014)
(5/15/2014)
(11/12/2014)
(5/24/2021)
(10/10/2023)
(3/8/2021)
(8/19/2015)
(10/1/2019)
(2/13/2007)
(2/27/2024)
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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