Bret W. Estep
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.
Bret William Estep, who also goes by Bret William Estep, Bret Estep, was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 2000. Bret had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2019 - December 23, 2025
ALLIANCEBERNSTEIN L.P.
June 5, 2019 - December 23, 2025
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 15, 2018 - March 4, 2019
FIRST COMMAND ADVISORY SERVICES
July 17, 2018 - March 4, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
January 25, 2018 - July 2, 2018
PRUCO SECURITIES, LLC.
August 18, 2015 - July 28, 2017
MUTUAL OF AMERICA SECURITIES LLC
August 18, 2015 - July 28, 2017
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 11, 2013 - June 18, 2015
CURIAN CAPITAL, LLC
May 8, 2012 - June 18, 2015
CURIAN CLEARING, LLC
October 9, 2000 - October 29, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
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
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 |
|---|---|---|
| 12/19/2025 | ||
| 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.
