TN
Troy Niehaus
ALLIANCEBERNSTEIN L.P.
Seattle, WA 98101
Some features on this profile are disabled
CRD#: 6845112
TN
Professional summary
Troy Niehaus is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Seattle, Washington and SANFORD C. BERNSTEIN & CO., LLC located in Seattle, Washington.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Troy has worked at 2 firms and has passed the Series 66, SIE, Series 31 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.
Varsity Student Institute / Larry Judd Consulting; non-investment-related; 600 Winslow Way East, Bainbridge Island, WA 98110; Mentor/Advisor; PAdvise HS students on the college application and selection process; 01/01/2015; 5-15 hours per month and 0 hours conducted during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Niehaus'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
January 24, 2018 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 601 Union Street #4343, Seattle, WA 98101RIA
CRD#: 108477
Seattle, WA
Current
November 2, 2017 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 601 Union Street, Suite 4650, Seattle, WA 98101RIA
BD
CRD#: 104474
Seattle, WA
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
Alaska(7/22/2019)
RR
Arizona(5/30/2018)
RR
California(2/27/2020)
RR
Colorado(5/31/2022)
RR
Florida(4/6/2018)
IAR
Florida(4/24/2018)
RR
Hawaii(11/21/2024)
RR
Kansas(6/15/2021)
RR
Massachusetts(10/3/2023)
RR
Montana(1/15/2020)
RR
Nevada(6/24/2021)
RR
New York(3/8/2022)
IAR
New York(3/8/2022)
RR
Ohio(12/12/2019)
RR
Oregon(9/24/2018)
RR
Pennsylvania(10/3/2023)
RR
Tennessee(7/19/2024)
RR
Texas(8/13/2021)
IAR
Texas(10/10/2023)
RR
Washington(1/24/2018)
IAR
Washington(1/24/2018)
RR
West Virginia(8/2/2022)
Exams
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
