Michael J. Ferraro

ALLIANCEBERNSTEIN L.P.

CHICAGO, IL 60606

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CRD#: 5331182

Professional summary

Michael James Ferraro, who also goes by Mike Ferraro, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Chicago, Illinois and SANFORD C. BERNSTEIN & CO., LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 7 firms and has passed the Series 63, Series 65, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Ferraro

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.

Envestnet, Inc., Envestnet Asset Management, Inc., and related RIA affiliates. Serve as Head of Institutional Business Development. This activity is investment-related. A majority of my time is devoted to these entitles. Day-to-day involvement with ESI will be roughly 15-20%, in a referral capacity (promoter and marketing agent of clearing and custody firms).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ferraro'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®

None

Experience

Current

April 25, 2025 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 108477

CHICAGO, IL

Current

April 25, 2025 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 104474

Chicago, IL

Past

June 4, 2024 - April 21, 2025

ENVESTNET SECURITIES, INC.

CRD#: 325803

BERWYN, PA

Past

May 29, 2024 - April 22, 2025

ENVESTNET PMC

RIA

CRD#: 111694

Mill Valley, CA

Past

May 24, 2016 - October 21, 2022

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

San Francisco, CA

Past

November 17, 2015 - October 21, 2022

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

October 10, 2012 - October 29, 2015

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

July 24, 2008 - October 2, 2012

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

June 27, 2007 - July 17, 2008

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

PHILADELPHIA, PA

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".

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.

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

IAR

California
(4/25/2025)

California
(8/11/2025)

IAR

Illinois
(4/25/2025)

Illinois
(8/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/11/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/23/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 11/23/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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 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	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.

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Firm Stability Insights

Michael J. Ferraro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ferraro's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

ENVESTNET SECURITIES, INC.

ENVESTNET PMC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/2025

Series 65

Date: 5/23/2016

Series 3

Date: 11/23/2019

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2007

Series 24

Date: 5/13/2025

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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