Kimberly Mustin
Professional summary
Kimberly Mustin, who also goes by Kimberly Diane Moulton, Kim M Mustin, Kimberly Moulton Mustin, 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.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kimberly has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 32, Series 3, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Mustin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2017 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001August 30, 2017 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001April 29, 2014 - June 13, 2016
BNY MELLON SECURITIES CORPORATION
August 23, 2010 - February 14, 2014
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 25, 2009 - August 10, 2010
FRANKLIN DISTRIBUTORS, LLC
October 5, 2007 - May 12, 2008
DEAM INVESTOR SERVICES, INC.
March 15, 2002 - March 20, 2009
DWS DISTRIBUTORS, 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
(2/16/2021)
(7/5/2018)
(7/5/2018)
(7/3/2018)
(11/6/2020)
(6/15/2020)
(11/2/2018)
(11/7/2018)
(5/9/2019)
(10/15/2021)
(10/14/2021)
(6/15/2020)
(10/15/2021)
(2/14/2024)
(9/20/2018)
(8/30/2017)
(5/7/2021)
(10/12/2018)
(7/3/2018)
(10/15/2021)
(11/29/2018)
(5/8/2023)
(4/27/2020)
(1/20/2022)
(1/10/2023)
(11/18/2020)
(10/10/2023)
(6/9/2020)
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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