Andrew J. Rivers
Professional summary
Andrew Jason Rivers, who also goes by Andrew J Rivers, Andrew Rivers, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Nashville, Tennessee and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Jason Rivers's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2025 - Present
ALLIANCEBERNSTEIN L.P.
Office #2: 501 Commerce Street, Nashville, TN 37203February 14, 2025 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 501 Commerce Street, Nashville, TN 37203November 29, 2012 - December 12, 2013
NATWEST MARKETS SECURITIES INC.
February 5, 2011 - August 18, 2011
CHASE INVESTMENT SERVICES CORP.
December 15, 2009 - August 18, 2011
CHASE INVESTMENT SERVICES CORP.
February 3, 2009 - November 16, 2009
MSI FINANCIAL SERVICES, INC.
December 24, 2008 - January 7, 2009
EQUITABLE ADVISORS, 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
(2/25/2025)
(3/27/2025)
Exams
Series 7TO
Date: 2/13/2025
General Securities Representative ExaminationFINRA
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
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