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AC

Amy Carroll

SANFORD C. BERNSTEIN & CO.
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 5432094
AC
Amy CarrollSANFORD C. BERNSTEIN & CO.

Professional summary

Amy Carroll, who also goes by Amy L Carroll, Amy Linh Tu Ho Carroll, Amy L Ho, Amy Linh-tu Ho, is a registered financial professional currently at SANFORD C. BERNSTEIN & CO., LLC located in New York, New York.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2008. Amy has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Aliases

Amy L Carroll | Amy Linh Tu Ho Carroll | Amy L Ho | Amy Linh-Tu Ho

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 Amy Carroll'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

July 22, 2026 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 66 Hudson Boulevard East, New York, NY 10001
RIA
BD
CRD#: 104474
NEW YORK, NY
Past

March 31, 2015 - August 22, 2024

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

July 25, 2013 - March 31, 2015

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

December 8, 2010 - June 7, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 21, 2008 - October 27, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN

CRD#: 104474 / SEC#: 801-57937, 8-52942

RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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
New York
(7/22/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 7/14/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/8/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/18/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN

CRD#: 104474 / SEC#: 801-57937, 8-52942

RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)
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 08/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
0

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

NamePositionCRD#
ALLIANCE CAPITAL MANAGEMENT LLCSOLE LLC MEMBER
EISENBERG, STEVEN MICHAELHEAD OF BUSINESS DEVELOPMENT2963027
KRUEGER, GARY MICHAELCHIEF FINANCIAL OFFICER AND DIRECTOR2840211
MEYERS, RICHARD EDWARDCHIEF EXECUTIVE OFFICER4453533
PURCELL, KEITH ANDREWPRINCIPAL OPERATIONS OFFICER4228391
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Regulatory assets under management

Total Number of Accounts26
AUM (Assets Under Management)$ 1,648,000,000

Disclosures

Regulatory Event31
Arbitration4

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

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474New York, NY 10001

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