Kyle S. Finn
Professional summary
Kyle Stephen Finn, who also goes by Kyle S Finn, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Cleveland, Ohio and SANFORD C. BERNSTEIN & CO., LLC located in Cleveland, Ohio.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kyle has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Stephen Finn's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2017 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 127 Public Square, Suite 5000, Cleveland, OH 44114January 18, 2017 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 127 Public Square, Suite 5000, Cleveland, OH 44114November 20, 2015 - January 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2015 - January 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary 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
(1/19/2017)
(1/19/2017)
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
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.
