BR
Brian A. Resnick
ALLIANCEBERNSTEIN L.P.
NEW YORK, NY 10001
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CRD#: 4774708
BR
Professional summary
Brian Andrew Resnick is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in New York, New York and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Mindful Magic LLC, not investment related, 3 Foster Place Pleasantville NY, Live entertainment, production and sale of magic tutorials and gimmicks, Owner - provide live entertainment, and create and sell magic tutorials and gimmicks, 06/30/2024, 10 per month, 0 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Andrew Resnick'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
June 9, 2016 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001RIA
CRD#: 108477
NEW YORK, NY
Current
May 24, 2016 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001BD
CRD#: 14549
NEW YORK, NY
Past
June 20, 2019 - December 16, 2022
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
February 14, 2011 - May 13, 2016
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
December 15, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEWPORT BEACH, CA
Past
January 7, 2005 - December 13, 2010
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
May 13, 2004 - December 13, 2010
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
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
Alabama(6/16/2016)
RR
Alaska(6/16/2016)
RR
Arizona(6/16/2016)
RR
Arkansas(6/16/2016)
RR
California(6/16/2016)
RR
Colorado(6/16/2016)
RR
Connecticut(6/16/2016)
RR
Delaware(6/16/2016)
RR
District of Columbia(6/16/2016)
RR
Florida(6/16/2016)
RR
Georgia(6/16/2016)
RR
Hawaii(6/16/2016)
RR
Idaho(6/16/2016)
RR
Illinois(6/16/2016)
RR
Indiana(6/16/2016)
RR
Iowa(6/16/2016)
RR
Kansas(6/16/2016)
RR
Kentucky(6/16/2016)
RR
Louisiana(6/16/2016)
RR
Maine(6/16/2016)
RR
Maryland(6/16/2016)
RR
Massachusetts(6/16/2016)
RR
Michigan(6/16/2016)
RR
Minnesota(6/16/2016)
RR
Mississippi(6/16/2016)
RR
Missouri(6/16/2016)
RR
Montana(6/16/2016)
RR
Nebraska(6/16/2016)
RR
Nevada(6/16/2016)
RR
New Hampshire(6/16/2016)
RR
New Jersey(6/16/2016)
RR
New Mexico(6/16/2016)
RR
New York(5/24/2016)
IAR
New York(11/28/2023)
RR
North Carolina(6/17/2016)
RR
North Dakota(6/16/2016)
RR
Ohio(6/16/2016)
RR
Oklahoma(6/16/2016)
RR
Oregon(6/16/2016)
RR
Pennsylvania(6/16/2016)
RR
Rhode Island(6/16/2016)
RR
South Carolina(6/16/2016)
RR
South Dakota(6/16/2016)
RR
Tennessee(6/16/2016)
RR
Texas(6/16/2016)
RR
Utah(6/16/2016)
RR
Vermont(6/16/2016)
RR
Virginia(6/16/2016)
RR
Washington(6/16/2016)
RR
West Virginia(6/16/2016)
RR
Wisconsin(6/16/2016)
RR
Wyoming(6/16/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
