Stephanie R. Bennett
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.
Stephanie Rae Bennett, who also goes by Stephanie Rae Tharpe, Stephanie Tharpe, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2009. Stephanie had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - April 13, 2016
ALLIANCEBERNSTEIN L.P.
December 10, 2012 - April 13, 2016
SANFORD C. BERNSTEIN & CO., LLC
August 5, 2009 - September 27, 2012
BARCLAYS CAPITAL 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
Exams
Series 55
Date: 11/2/2009
Limited Representative-Equity Trader ExamCurrent 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
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.
