Daryl M. Northrop
Professional summary
Daryl Mitchell Northrop is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
Daryl is registered as a RR (Registered Representative) and started their career in finance in 2006. Daryl has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daryl Mitchell Northrop's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2011 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001June 1, 2009 - August 5, 2009
MORGAN STANLEY
May 21, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 14, 2006 - February 14, 2007
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2024)
(3/7/2024)
(2/23/2017)
(6/20/2023)
(4/12/2011)
(3/7/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/6/2006
Limited Representative-Equity Trader ExamFINRA
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 |
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