TM
Thomas F. Miele
ALLIANCEBERNSTEIN L.P.
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 4244320
TM
Professional summary
Thomas Frank Miele, who also goes by Thomas F. Miele, Tom Miele, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in New York, New York and SANFORD C. BERNSTEIN & CO., LLC located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas F. Miele | Tom Miele
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.
BUSINESS NAME: Turbo Relief LLC INVESTMENT RELATED: No ADDRESS: 150 North Street, Greenwich CT 06830 NATURE OF BUSINESS: Turbo Relief is a "passion project" started by my 19 year old son Ryan (currently a sophomore at college) where he created a therapeutic stuffed animal designed to reduce anxiety in children. He primarily sells them on his retail website (www.turborelief.co). As this is a basic start-up where I'm helping my son launch, we do not have an operating agreement or basic financials to distribute. POSITION: No tile RELATIONSHIP: START DATE: 09/24/2019 APPROXIMATE NUMBER HOURS: 2 hours/month, 0 hours during trading hours YOUR DUTIES: Minimal which consists of occasionally dropping off product at UPS for shipment
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Frank Miele'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
February 3, 2017 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001RIA
CRD#: 108477
NEW YORK, NY
Current
September 26, 2016 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001RIA
BD
CRD#: 104474
NEW YORK, NY
Past
March 24, 2008 - June 14, 2016
GE CAPITAL MARKETS, INC.
BD
CRD#: 13349
NEW YORK, NY
Past
October 3, 2000 - November 7, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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
California(4/19/2017)
RR
Colorado(2/14/2020)
RR
Connecticut(4/24/2017)
IAR
Connecticut(3/23/2023)
RR
Delaware(2/7/2022)
RR
District of Columbia(4/19/2017)
RR
Florida(4/28/2017)
IAR
Florida(8/28/2019)
RR
Georgia(10/24/2018)
RR
Maryland(1/31/2018)
RR
Massachusetts(6/28/2018)
RR
New Jersey(4/19/2017)
RR
New York(9/26/2016)
IAR
New York(5/7/2021)
RR
Ohio(6/20/2018)
RR
Pennsylvania(4/19/2017)
RR
South Carolina(11/6/2017)
RR
Tennessee(3/18/2019)
RR
Texas(4/13/2022)
IAR
Texas(1/18/2023)
RR
Vermont(2/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
