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EN

Emily R. Neubert

ALLIANCEBERNSTEIN L.P.
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5066542
EN

Professional summary

Emily Rebecca Neubert, CFP®, who also goes by Emily Rebecca Lehman, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Denver, Colorado and SANFORD C. BERNSTEIN & CO., LLC located in Denver, Colorado.

Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Emily has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Emily Rebecca Lehman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Rebecca Neubert's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

November 13, 2012 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 1400 16th Street Suite 450, Denver, CO 80202
RIA
CRD#: 108477
Denver, CO
Current

November 12, 2012 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 1400 16th Street Suite 450, Denver, CO 80202
RIA
BD
CRD#: 104474
Denver, CO
Past

May 25, 2012 - November 6, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

May 21, 2012 - November 6, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

July 27, 2007 - July 6, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

July 27, 2007 - July 6, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LOS ANGELES, CA
Past

September 25, 2006 - February 6, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

August 25, 2006 - February 6, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
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
California
(11/12/2012)
RR
Colorado
(7/31/2015)
IAR
Colorado
(7/31/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/19/2025
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)
INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts68,593
AUM (Assets Under Management)$ 709,162,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2024
Cover Page
Report
10/27/2023
Cover Page
Report

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.

Company Information

ALLIANCEBERNSTEIN L.P.

CRD#: 108477Denver, CO 80202

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