Benjamin M. Stein
Professional summary
Benjamin Matthew Stein, who also goes by Benjamin Stein, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in New York, New York and SANFORD C. BERNSTEIN & CO., LLC located in New York, New York.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Benjamin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Matthew Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2015 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001September 15, 2011 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001Primary 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
(6/9/2020)
(6/12/2017)
(6/12/2017)
(6/12/2017)
(6/12/2017)
(10/11/2022)
(6/12/2017)
(6/16/2017)
(6/14/2017)
(1/4/2023)
(12/15/2023)
(3/3/2022)
(6/14/2017)
(6/14/2017)
(5/24/2021)
(3/20/2018)
(4/18/2023)
(6/13/2017)
(4/3/2025)
(10/13/2011)
(5/7/2021)
(6/13/2017)
(9/13/2022)
(6/13/2017)
(6/13/2017)
(6/9/2017)
(6/9/2017)
(10/19/2022)
(1/23/2019)
(1/4/2021)
(6/9/2017)
(11/2/2018)
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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