BH
Brian F. Haloossim
ALLIANCEBERNSTEIN L.P.
LOS ANGELES, CA 90067
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CRD#: 4704812
BH
Professional summary
Brian Farzin Haloossim, who also goes by Brian Haloossim, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Los Angeles, California and SANFORD C. BERNSTEIN & CO., LLC located in Los Angeles, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brian has worked at 2 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Haloossim
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.
Qloo Inc.; Not investment-related; 195 Bowery 3rd Floor, New York, NY 10002; Technology Services - Mobile application focused on entertainment and culture; Advisor - asked to serve on advisory board October 2013; 2 hours per month; 0 during securities trading hours; My role will include making strategic introductions and opining on marketing strategy. I am also part of the Beta test for the application and will provide feedback as a current user.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Farzin Haloossim'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
October 20, 2003 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1999 Avenue Of The Stars Suite 2150, Los Angeles, CA 90067RIA
CRD#: 108477
LOS ANGELES, CA
Current
October 13, 2003 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1999 Avenue Of The Stars, Suite 2150, Los Angeles, CA 90067RIA
BD
CRD#: 104474
Los Angeles, CA
Past
February 26, 2013 - September 6, 2013
SANFORD C. BERNSTEIN & CO., LLC
RIA
CRD#: 104474
LOS ANGELES, 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".
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
Arizona(3/31/2005)
IAR
California(10/20/2003)
RR
California(11/26/2003)
RR
Colorado(2/18/2016)
RR
Connecticut(6/11/2020)
RR
Delaware(2/21/2024)
RR
District of Columbia(8/26/2015)
IAR
District of Columbia(9/21/2015)
RR
Florida(2/3/2005)
IAR
Florida(10/11/2022)
RR
Georgia(9/27/2005)
RR
Hawaii(2/28/2006)
RR
Idaho(8/26/2015)
RR
Illinois(8/26/2015)
RR
Maryland(8/30/2006)
RR
Massachusetts(5/19/2017)
RR
Montana(4/13/2016)
RR
Nevada(2/20/2009)
RR
New Hampshire(4/27/2021)
RR
New Jersey(7/1/2004)
RR
New Mexico(7/20/2022)
RR
New York(10/20/2003)
IAR
New York(5/7/2021)
RR
North Carolina(2/14/2017)
RR
Ohio(5/4/2010)
RR
Oregon(10/12/2016)
RR
Pennsylvania(11/27/2023)
RR
Puerto Rico(11/5/2021)
RR
South Carolina(2/3/2020)
RR
Tennessee(2/4/2016)
RR
Texas(4/20/2004)
IAR
Texas(10/28/2013)
RR
Utah(5/30/2017)
RR
Virginia(7/28/2020)
RR
Washington(1/3/2005)
RR
Wisconsin(1/8/2016)
RR
Wyoming(6/29/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
