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KD

Kathleen Dumes

ALLIANCEBERNSTEIN L.P.
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 5944230
KD

Professional summary

Kathleen Dumes, who also goes by Kathleen D Dumes, Kathleen Denise Dumes, 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.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kathleen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen D Dumes | Kathleen Denise Dumes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Dumes'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

March 31, 2015 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 66 Hudson Boulevard East, New York, NY 10001
RIA
CRD#: 108477
NEW YORK, NY
Current

February 7, 2025 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 66 Hudson Boulevard East, New York, NY 10001
RIA
BD
CRD#: 104474
NEW YORK, NY
Past

March 24, 2015 - February 7, 2025

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

October 16, 2013 - March 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

August 26, 2013 - March 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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".
AL
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.
RR
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

RR
New Jersey
(5/2/2025)
IAR
New Jersey
(5/2/2025)
IAR
New York
(2/27/2023)
RR
New York
(2/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AL
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts68,593
AUM (Assets Under Management)$ 709,162,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/19/2025
Cover Page
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.

Company Information

ALLIANCEBERNSTEIN L.P.

CRD#: 108477New York, NY 10001

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