Nicholas P. Crennan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Patrick Crennan, who also goes by Nicholas Patrick Crennan, Nicholas Crennan, Nick Patrick Crennan, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2020. Nicholas had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2022 - August 27, 2024
SANFORD C. BERNSTEIN & CO., LLC
August 27, 2020 - June 25, 2021
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/27/2020
General Securities Representative ExaminationCurrent Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
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.
