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JB

James J. Bracken

SANFORD C. BERNSTEIN & CO.
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 5375422
JB

Professional summary

James J Bracken, who also goes by James J Bracken IV, James Joseph Bracken Iv, is a registered financial professional currently at SANFORD C. BERNSTEIN & CO., LLC located in Nashville, Tennessee and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James J Bracken Iv | James Joseph Bracken Iv

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) - BD

Click below to view James J Bracken's 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

February 26, 2014 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 501 Commerce Street 24th Floor, Nashville, TN 37203
RIA
BD
CRD#: 104474
Nashville, TN
Current

February 12, 2020 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203
BD
CRD#: 14549
Nashville, TN
Past

September 3, 2010 - February 26, 2014

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

July 31, 2007 - June 30, 2010

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(2/26/2014)
RR
Maine
(2/26/2014)
RR
Massachusetts
(2/26/2014)
RR
Michigan
(2/26/2014)
RR
New Hampshire
(2/26/2014)
RR
New York
(2/26/2014)
RR
Ohio
(2/26/2014)
RR
Rhode Island
(2/26/2014)
RR
Vermont
(2/26/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/29/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/30/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.

CRD#: 14549 / SEC#: , 8-30851

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")PARENT OF REGISTRANT
ARCHARD, NOEL CHRISTIANHEAD OF ETF AND PORTFOLIO SOLUTIONS2563745
GESSNER, MARK ANDREWCHIEF EXECUTIVE OFFICER2447287
KRUEGER, GARY MICHAELDIRECTOR, CHIEF FINANCIAL OFFICER2840211
MANLEY, MARK RANDALLDIRECTOR AND CORPORATE SECRETARY1294370
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event5

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 INVESTMENTS, INC.

CRD#: 14549Nashville, TN 37203

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