Jocelyn L. Caster

BERNSTEIN INSTITUTIONAL SERVICES LLC

Los Angeles, CA 90067

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CRD#: 6871158

Professional summary

Jocelyn Lily Caster is a registered financial professional currently at BERNSTEIN INSTITUTIONAL SERVICES LLC located in Los Angeles, California.

Jocelyn is registered as a RR (Registered Representative) and started their career in finance in 2018. Jocelyn has worked at 2 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jocelyn Lily Caster'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®

None

Experience

Current

March 29, 2024 - Present

BERNSTEIN INSTITUTIONAL SERVICES LLC

Office #1: 2049 Century Park E, Los Angeles, CA 90067

RIA

CRD#: 317807

Los Angeles, CA

Past

January 24, 2018 - March 29, 2024

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

LOS ANGELES, 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".

BERNSTEIN INSTITUTIONAL SERVICES LLC

CRD#: 317807 / SEC#: 801-129468, 8-71053

RIA

Registered Investment Advisory firm - SEC (2/2/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/6/2025)

Alaska
(1/6/2025)

Arizona
(1/6/2025)

Arkansas
(1/6/2025)

California
(3/29/2024)

Colorado
(1/6/2025)

Connecticut
(1/6/2025)

Delaware
(1/6/2025)

District of Columbia
(1/6/2025)

Florida
(1/6/2025)

Georgia
(1/6/2025)

Hawaii
(1/6/2025)

Idaho
(1/6/2025)

Illinois
(1/6/2025)

Indiana
(1/6/2025)

Iowa
(1/6/2025)

Kansas
(1/6/2025)

Kentucky
(1/6/2025)

Louisiana
(1/6/2025)

Maine
(1/6/2025)

Maryland
(1/6/2025)

Massachusetts
(1/6/2025)

Michigan
(1/6/2025)

Minnesota
(1/6/2025)

Mississippi
(1/6/2025)

Missouri
(1/6/2025)

Montana
(1/6/2025)

Nebraska
(1/6/2025)

Nevada
(1/6/2025)

New Hampshire
(1/6/2025)

New Jersey
(1/6/2025)

New Mexico
(1/6/2025)

New York
(1/6/2025)

North Carolina
(1/6/2025)

North Dakota
(1/6/2025)

Ohio
(1/6/2025)

Oklahoma
(1/6/2025)

Oregon
(1/6/2025)

Pennsylvania
(1/6/2025)

Puerto Rico
(1/6/2025)

Rhode Island
(1/6/2025)

South Carolina
(1/6/2025)

South Dakota
(1/6/2025)

Tennessee
(1/6/2025)

Texas
(1/6/2025)

Utah
(1/6/2025)

Vermont
(1/6/2025)

Virgin Islands
(1/6/2025)

Virginia
(1/6/2025)

Washington
(1/6/2025)

West Virginia
(1/6/2025)

Wisconsin
(1/6/2025)

Wyoming
(1/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/22/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/27/2024

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2018

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BERNSTEIN INSTITUTIONAL SERVICES LLC

CRD#: 317807 / SEC#: 801-129468, 8-71053

RIA

Registered Investment Advisory firm - SEC (2/2/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

245 Park Ave, New York, NY 10167

Mailing Address

245 Park Ave, New York, NY 10167

Phone number

(212) 969-1000

Established

Delaware since 10/15/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

282

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

INSTITUTIONAL RESEARCH SERVICES BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BERNSTEIN NORTH AMERICA HOLDINGS LLC	SOLE LLC MEMBER
BERTAN, LAURENCE HUGH	CHIEF COMPLIANCE OFFICER	2332647
HEATH, THOMAS	PRINCIPAL OPERATIONS OFFICER	2892153
KEYES-GREVELIS, STEPHEN N	HEAD OF SALES	4273925
MCGRANAHAN, COLIN A	HEAD OF RESEARCH	4378110
MORGAN, SCOTT THOMAS	HEAD OF TRADING	2578628
RHEE, KIHO	CHIEF FINANCIAL OFFICER / FINOP	2827794
VAN BRUGGE, ROBERT PIETER	CHIEF EXECUTIVE OFFICER	4610799

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.

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Advisor Monitoring

Firm Stability Insights

Jocelyn L. Caster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jocelyn Lily Caster's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

BERNSTEIN INSTITUTIONAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2018

Series 3

Date: 8/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2018

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BERNSTEIN INSTITUTIONAL SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

BERNSTEIN INSTITUTIONAL SERVICES LLC

TRUST BUT VERIFY

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