RS
Ronald G. Smith
ALLIANCEBERNSTEIN L.P.
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6038062
RS
Professional summary
Ronald G Smith, who also goes by Ron G Smith, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Stamford, Connecticut and SANFORD C. BERNSTEIN & CO., LLC located in Stamford, Connecticut.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ronald has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron G Smith
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: RGS Ventures LLC
INVESTMENT RELATED: No
ADDRESS: 680 E Main Street Ste A Unit#1219 Stamford CT 06901
NATURE OF BUSINESS: As an independent contractor with my last firm, this LLC was formed to track business related expenses associated with my practice. RGS Ventures LLC doesn't have any active business operations at this time. It was originally formed several years ago to track reimbursable business-related expenses at my prior firm. Since joining Bernstein, it has remained dormant, no revenue, clients, or outside activities are being conducted through the entity. Also, I don't have any ongoing duties or responsibilities related to the LLC.
POSITION: Owner
RELATIONSHIP: 2016-05-02
APPROXIMATE NUMBER HOURS: 5 hours/month, 0 hours during trading hours
YOUR DUTIES: As an independent contractor with my last firm, this LLC was formed to track business related expenses associated with my practice. RGS Ventures LLC doesn't have any active business operations at this time. It was originally formed several years ago to track reimbursable business-related expenses at my prior firm. Since joining Bernstein, it has remained dormant, no revenue, clients, or outside activities are being conducted through the entity. Also, I don't have any ongoing duties or responsibilities related to the LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald G Smith's 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®
NoneExperience
Current
February 5, 2024 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902RIA
CRD#: 108477
Stamford, CT
Current
January 11, 2024 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 290 Harbor Drive 2nd Floor, Stamford, CT 06902RIA
BD
CRD#: 104474
Stamford, CT
Past
July 1, 2013 - December 26, 2023
SPARTAN CAPITAL SECURITIES, LLC
BD
CRD#: 146251
NEW YORK, NY
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
California(3/6/2025)
RR
Connecticut(1/11/2024)
IAR
Connecticut(2/5/2024)
RR
Minnesota(5/2/2025)
RR
New York(1/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck 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)
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
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.
