Bret W. Estep

ALLIANCEBERNSTEIN L.P.

Nashville, TN 37203

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CRD#: 4201117

Professional summary

Bret William Estep, who also goes by Bret William Estep, Bret Estep, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Nashville, Tennessee and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Bret has 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

Are you a "fiduciary"?

Yes

Aliases

Bret William Estep | Bret Estep

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) - RIA

Click below to view Bret William Estep's CRS (Customer Relationship Summary).

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

June 7, 2019 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 501 Commerce St, Nashville, TN 37203

RIA

CRD#: 108477

Nashville, TN

Current

June 5, 2019 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203

CRD#: 14549

Nashville, TN

Past

August 15, 2018 - March 4, 2019

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Clarksville, TN

Past

July 17, 2018 - March 4, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

CLARKSVILLE, TN

Past

January 25, 2018 - July 2, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

ATLANTA, GA

Past

August 18, 2015 - July 28, 2017

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NASHVILLE, TN

Past

August 18, 2015 - July 28, 2017

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NASHVILLE, TN

Past

June 11, 2013 - June 18, 2015

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

FRANKLIN, TN

Past

May 8, 2012 - June 18, 2015

CURIAN CLEARING, LLC

CRD#: 132938

FRANKLIN, TN

Past

October 9, 2000 - October 29, 2010

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEWPORT BEACH, CA

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".

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.

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

Tennessee
(6/5/2019)

IAR

Tennessee
(6/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/27/2018

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/10/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/6/2000

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 9/5/2000

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Bret W. Estep

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bret William Estep's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCEBERNSTEIN INVESTMENTS, INC.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

PRUCO SECURITIES, LLC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CURIAN CAPITAL, LLC

CURIAN CLEARING, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/27/2018

Series 65

Date: 6/10/2013

Series 63

Date: 2/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2005

Series 6

Date: 10/6/2000

Series 3

Date: 9/5/2000

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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