Ethan H. Brodie
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.
Ethan Hepner Brodie was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2003. Ethan had worked at 6 firms and has passed the Series 63, SIE 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 18, 2017 - January 29, 2020
SANFORD C. BERNSTEIN & CO., LLC
November 14, 2016 - November 30, 2016
INSTINET, LLC
April 7, 2014 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
November 15, 2012 - April 21, 2014
INSTINET, LLC
March 16, 2009 - November 9, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
June 1, 2006 - March 17, 2009
INSTINET, LLC
June 9, 2004 - June 1, 2006
INSTINET, LLC
March 5, 2004 - June 4, 2004
J.P. MORGAN SECURITIES LLC
December 18, 2003 - January 15, 2004
BLACKLAKE SECURITIES CORPORATION
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
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
Current Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
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.
