Sapna Arvind
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.
Sapna Arvind, who also goes by Sapna VIsveswar, was a registered financial professional .
Sapna is a previously registered financial professional and started their career in finance in 2005. Sapna had worked at 4 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
May 14, 2014 - January 14, 2015
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 16, 2010 - July 19, 2012
DWS DISTRIBUTORS, INC.
December 7, 2006 - July 17, 2008
MORGAN STANLEY & CO. LLC
January 1, 2005 - February 16, 2006
LEHMAN BROTHERS INC.
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
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
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.
