Phillip Lin
Professional summary
Phillip Lin, who also goes by Phillip Pinyu Lin, is a registered financial professional currently at SANFORD C. BERNSTEIN & CO., LLC located in Seattle, Washington.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2011. Phillip has worked at 2 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Lin's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2021 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 601 Union Street, Suite 4650, Seattle, WA 98101August 22, 2011 - December 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2011 - December 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/15/2021)
Exams
Series 7TO
Date: 10/14/2021
General Securities Representative ExaminationFINRA
Current Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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