SB
Stephen J. Brown
ALLIANCEBERNSTEIN INVESTMENTS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 6991734
SB
Professional summary
Stephen J Brown JR, who also goes by Stephen J Brown, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen J Brown
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) - BD
Click below to view Stephen J Brown JR'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
April 22, 2025 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001BD
CRD#: 14549
NEW YORK, NY
Past
February 6, 2020 - March 18, 2025
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(4/22/2025)
RR
Alaska(4/22/2025)
RR
Arizona(4/22/2025)
RR
Arkansas(4/22/2025)
RR
California(4/22/2025)
RR
Colorado(4/22/2025)
RR
Connecticut(4/22/2025)
RR
Delaware(4/22/2025)
RR
District of Columbia(4/22/2025)
RR
Florida(4/22/2025)
RR
Georgia(4/22/2025)
RR
Hawaii(4/22/2025)
RR
Idaho(4/22/2025)
RR
Illinois(4/22/2025)
RR
Indiana(4/22/2025)
RR
Iowa(4/22/2025)
RR
Kansas(4/22/2025)
RR
Kentucky(4/22/2025)
RR
Louisiana(4/22/2025)
RR
Maine(4/22/2025)
RR
Maryland(4/22/2025)
RR
Massachusetts(4/22/2025)
RR
Michigan(4/22/2025)
RR
Minnesota(4/22/2025)
RR
Mississippi(4/22/2025)
RR
Missouri(4/22/2025)
RR
Montana(4/22/2025)
RR
Nebraska(4/22/2025)
RR
Nevada(4/22/2025)
RR
New Hampshire(4/22/2025)
RR
New Jersey(4/22/2025)
RR
New Mexico(4/22/2025)
RR
New York(4/22/2025)
RR
North Carolina(4/22/2025)
RR
North Dakota(4/22/2025)
RR
Ohio(4/23/2025)
RR
Oklahoma(4/22/2025)
RR
Oregon(4/22/2025)
RR
Pennsylvania(4/22/2025)
RR
Puerto Rico(4/22/2025)
RR
Rhode Island(4/22/2025)
RR
South Carolina(4/22/2025)
RR
South Dakota(4/22/2025)
RR
Tennessee(4/22/2025)
RR
Texas(4/22/2025)
RR
Utah(4/22/2025)
RR
Vermont(4/22/2025)
RR
Virgin Islands(4/22/2025)
RR
Virginia(4/22/2025)
RR
Washington(4/22/2025)
RR
West Virginia(4/22/2025)
RR
Wisconsin(4/22/2025)
RR
Wyoming(4/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.
CRD#: 14549 / SEC#: , 8-30851
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
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.
