Bruce J. Brotine

ALLIANCEBERNSTEIN L.P.

Chicago, IL 60606

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CRD#: 5846710

Professional summary

Bruce J Brotine is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Chicago, Illinois and SANFORD C. BERNSTEIN & CO., LLC located in Chicago, Illinois.

Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Bruce has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 34, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Count: 1 1) BusinessName: Property Manager INVESTMENT RELATED: Yes, Investment Related ADDRESS: 3413 River Falls Dr Northbrook IL NATURE OF BUSINESS: I manage two investment properties in Round Lake. My wife and I are 100% owners. POSITION: Landlord RELATIONSHIP: 2021-03-18 APPROXIMATE NUMBER HOURS: 2 hours/month, 0 hours during trading hours YOUR DUTIES: I advertise, show, manage, and maintain the properties and tenants.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce J Brotine'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

May 8, 2025 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 108477

Chicago, IL

Current

April 17, 2025 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 104474

Chicago, IL

Past

June 10, 2011 - July 7, 2014

TRADESTATION SECURITIES, INC.

CRD#: 39473

CHICAGO, IL

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".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Illinois
(5/8/2025)

Illinois
(5/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/16/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/8/2025

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/17/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/21/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 7/18/2011

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 7/8/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/9/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Bruce J. Brotine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce J Brotine's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

TRADESTATION SECURITIES, INC.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2025

Series 65

Date: 5/8/2025

Series 7TO

Date: 4/17/2025

SIE

Date: 2/21/2025

Series 34

Date: 7/18/2011

Series 3

Date: 7/8/2011

Series 7

Date: 6/9/2011

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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