Jonathan M. Fung
Professional summary
Jonathan Matthew Fung, who also goes by Jonathan Fung, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Denver, Colorado and SANFORD C. BERNSTEIN & CO., LLC located in Denver, Colorado.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jonathan has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Matthew Fung's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2006 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1400 16th Street Suite 450, Denver, CO 80202May 12, 2006 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1400 16th Street Suite 450, Denver, CO 80202April 11, 2011 - September 28, 2011
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/21/2011)
(11/11/2010)
(8/23/2006)
(5/12/2006)
(8/23/2006)
(4/11/2017)
(9/14/2020)
(3/20/2012)
(10/17/2022)
(11/25/2020)
(6/25/2019)
(5/10/2017)
(10/23/2023)
(5/26/2023)
(12/15/2010)
(8/3/2018)
(1/17/2019)
(8/19/2015)
(3/4/2011)
(11/12/2015)
(2/27/2019)
(7/15/2010)
(8/13/2008)
(7/19/2018)
(3/4/2011)
(11/16/2006)
(3/27/2023)
(6/30/2009)
(5/6/2015)
(9/5/2013)
(8/24/2007)
(10/11/2024)
(12/9/2014)
(7/30/2019)
(3/4/2011)
(5/28/2013)
(6/25/2019)
(9/21/2016)
(5/30/2017)
(7/29/2015)
(1/3/2022)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
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.
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