Sean J. Barker
Professional summary
Sean Jeffrey Barker is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Philadelphia, Pennsylvania and SANFORD C. BERNSTEIN & CO., LLC located in Philadelphia, Pennsylvania.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Jeffrey Barker's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 14, 2012 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1735 Market Street 38th Floor, Philadelphia, PA 19103February 9, 2011 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1735 Market Street Suite 3800, Philadelphia, PA 19103November 13, 2009 - December 6, 2010
VANGUARD MARKETING CORPORATION
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
(2/13/2020)
(9/17/2020)
(2/20/2018)
(8/27/2014)
(1/14/2022)
(1/19/2022)
(8/27/2014)
(9/15/2014)
(6/15/2021)
(4/29/2020)
(8/28/2019)
(8/10/2022)
(10/23/2023)
(7/7/2020)
(7/29/2014)
(8/27/2014)
(4/17/2023)
(8/27/2014)
(2/14/2011)
(12/14/2012)
(5/7/2021)
(10/18/2022)
(4/6/2021)
(11/30/2023)
(11/30/2023)
(4/5/2019)
(4/5/2019)
(10/23/2023)
Exams
FINRA
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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