CH
Cale H. Huisinga
ALLIANCEBERNSTEIN L.P.
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 6504393
CH
Professional summary
Cale Heath Huisinga is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Nashville, Tennessee and SANFORD C. BERNSTEIN & CO., LLC located in Nashville, Tennessee.
Cale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Cale has worked at 4 firms and has passed the Series 66, SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Cale Heath Huisinga'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
July 2, 2021 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 501 Commerce Street, Nashville, TN 37203RIA
CRD#: 108477
Nashville, TN
Current
July 6, 2021 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 501 Commerce Street 24th Floor, Nashville, TN 37203RIA
BD
CRD#: 104474
Nashville, TN
Past
October 7, 2016 - September 9, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
May 24, 2016 - September 9, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHICAGO, IL
Past
December 11, 2015 - April 12, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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".
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
Alabama(7/6/2021)
RR
Alaska(7/6/2021)
RR
Arizona(7/6/2021)
RR
Arkansas(7/6/2021)
RR
California(7/6/2021)
RR
Colorado(7/6/2021)
RR
Connecticut(7/6/2021)
RR
Delaware(7/6/2021)
RR
District of Columbia(7/6/2021)
RR
Florida(7/6/2021)
RR
Georgia(7/6/2021)
RR
Hawaii(7/6/2021)
RR
Idaho(7/6/2021)
RR
Illinois(7/6/2021)
RR
Indiana(7/6/2021)
RR
Iowa(7/6/2021)
RR
Kansas(7/6/2021)
RR
Kentucky(7/6/2021)
RR
Louisiana(7/6/2021)
RR
Maine(7/6/2021)
RR
Maryland(7/6/2021)
RR
Massachusetts(7/6/2021)
RR
Michigan(7/6/2021)
RR
Minnesota(7/6/2021)
RR
Mississippi(7/6/2021)
RR
Missouri(7/6/2021)
RR
Montana(7/6/2021)
RR
Nebraska(7/6/2021)
RR
Nevada(7/6/2021)
RR
New Hampshire(7/6/2021)
RR
New Jersey(7/6/2021)
RR
New Mexico(7/6/2021)
RR
New York(7/6/2021)
RR
North Carolina(7/6/2021)
RR
North Dakota(7/6/2021)
RR
Ohio(7/8/2021)
RR
Oklahoma(7/6/2021)
RR
Oregon(7/6/2021)
RR
Pennsylvania(7/6/2021)
RR
Puerto Rico(7/6/2021)
RR
Rhode Island(7/6/2021)
RR
South Carolina(7/6/2021)
RR
South Dakota(7/6/2021)
IAR
Tennessee(7/2/2021)
RR
Tennessee(7/7/2021)
RR
Texas(7/6/2021)
IAR
Texas(4/10/2024)
RR
Utah(7/6/2021)
RR
Vermont(7/6/2021)
RR
Virgin Islands(7/6/2021)
RR
Virginia(7/6/2021)
RR
Washington(7/6/2021)
RR
West Virginia(7/6/2021)
RR
Wisconsin(7/6/2021)
RR
Wyoming(7/6/2021)
Exams
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
