Jaime I. Moisio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jaime Ilana Moisio, who also goes by Jaime Moisio, was a registered financial professional .
Jaime is a previously registered financial professional and started their career in finance in 2010. Jaime had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - January 24, 2022
ALLIANCEBERNSTEIN L.P.
October 22, 2012 - January 24, 2022
SANFORD C. BERNSTEIN & CO., LLC
April 1, 2011 - July 17, 2012
RAYMOND JAMES & ASSOCIATES, INC.
April 1, 2011 - July 17, 2012
RAYMOND JAMES & ASSOCIATES, INC.
June 17, 2010 - April 1, 2011
HOWE BARNES HOEFER & ARNETT, INC.
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
Exams
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
