Aaron J. Marberg
Professional summary
Aaron James Marberg is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Seattle, Washington and SANFORD C. BERNSTEIN & CO., LLC located in Seattle, Washington.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Aaron has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Aaron James Marberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2010 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 601 Union Street Suite 4242, Seattle, WA 98101March 31, 2010 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 601 Union Street, Suite 4650, Seattle, WA 98101January 2, 2009 - March 12, 2010
LINCOLN INVESTMENT
January 2, 2009 - March 12, 2010
LINCOLN INVESTMENT
March 8, 2005 - July 29, 2009
SHELGREN FINANCIAL GROUP, INC.
February 15, 2005 - December 31, 2008
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 6, 2004 - February 15, 2005
PMG SECURITIES CORPORATION
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
(1/31/2014)
(8/13/2013)
(4/24/2012)
(11/6/2018)
(12/2/2013)
(2/10/2023)
(1/5/2015)
(12/18/2015)
(4/1/2025)
(3/7/2018)
(11/20/2014)
(2/8/2018)
(9/9/2014)
(6/21/2016)
(8/27/2014)
(12/1/2023)
(8/18/2017)
(5/9/2012)
(2/11/2020)
(1/30/2025)
(5/11/2017)
(5/16/2017)
(8/5/2016)
(12/14/2022)
(3/25/2010)
(3/31/2010)
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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