CG
Caroline Gartland
ALLIANCEBERNSTEIN L.P.
SAN FRANCISCO, CA 94104
Some features on this profile are disabled
CRD#: 6854759
CG
Professional summary
Caroline Gartland is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in San Francisco, California and SANFORD C. BERNSTEIN & CO., LLC located in San Francisco, California.
Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Caroline has worked at 2 firms and has passed the Series 63, Series 7TO and SIE 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 Caroline Gartland'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 18, 2024 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 555 California Street 43rd Floor, San Francisco, CA 94104RIA
CRD#: 108477
SAN FRANCISCO, CA
Current
October 25, 2021 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 555 California Street 44th Floor, San Francisco, CA, 94104RIA
BD
CRD#: 104474
San Francisco, CA
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(5/14/2025)
RR
Alaska(5/14/2025)
RR
Arizona(10/15/2024)
RR
Arkansas(5/14/2025)
RR
California(11/30/2021)
IAR
California(7/18/2024)
RR
Colorado(9/30/2024)
RR
Connecticut(5/14/2025)
RR
Delaware(5/14/2025)
RR
District of Columbia(5/14/2025)
RR
Florida(5/14/2025)
RR
Georgia(5/14/2025)
RR
Hawaii(10/15/2024)
RR
Idaho(5/14/2025)
RR
Illinois(9/30/2024)
RR
Indiana(5/14/2025)
RR
Iowa(5/14/2025)
RR
Kansas(5/14/2025)
RR
Kentucky(5/14/2025)
RR
Louisiana(5/14/2025)
RR
Maine(5/14/2025)
RR
Maryland(5/14/2025)
RR
Massachusetts(9/30/2024)
RR
Michigan(5/14/2025)
RR
Minnesota(5/14/2025)
RR
Mississippi(5/14/2025)
RR
Missouri(10/15/2024)
RR
Montana(5/14/2025)
RR
Nebraska(5/14/2025)
RR
Nevada(9/30/2024)
RR
New Hampshire(5/14/2025)
RR
New Jersey(10/15/2024)
RR
New Mexico(9/30/2024)
RR
New York(9/30/2024)
RR
North Carolina(9/30/2024)
RR
North Dakota(5/14/2025)
RR
Ohio(5/14/2025)
RR
Oklahoma(5/14/2025)
RR
Oregon(9/30/2024)
RR
Pennsylvania(10/15/2024)
RR
Puerto Rico(5/14/2025)
RR
Rhode Island(5/14/2025)
RR
South Carolina(5/14/2025)
RR
South Dakota(5/14/2025)
RR
Tennessee(5/14/2025)
RR
Texas(5/14/2025)
IAR
Texas(5/15/2025)
RR
Utah(5/14/2025)
RR
Vermont(5/14/2025)
RR
Virgin Islands(5/14/2025)
RR
Virginia(10/15/2024)
RR
Washington(10/15/2024)
RR
West Virginia(5/14/2025)
RR
Wisconsin(10/15/2024)
RR
Wyoming(10/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2021
General Securities Representative ExaminationGeneral 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.
