JR
Jackson R. Rau
ALLIANCEBERNSTEIN L.P.
HOUSTON, TX 77002
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CRD#: 7144510
JR
Professional summary
Jackson Ryan Rau, who also goes by Jackson Rau, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Houston, Texas and SANFORD C. BERNSTEIN & CO., LLC located in Houston, Texas.
Jackson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Jackson has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jackson Rau
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.
1) 2/2022- Zions Wealth Advisors- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2) 11/07/2022 - Vectra Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/24/2022 - 160 Hours Per Month/6 Hours During Securities Trading. 3) 11/07/2022 - CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/24/2022 - 160 Hours Per Month/6 Hours During Securities Trading. 4) 11/07/2022 - National Bank of Arizona Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/24/2022 - 160 Hours Per Month/6 Hours During Securities Trading. 5) 11/07/2022 - Nevada State Bank Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/24/2022 - 160 Hours Per Month/6 Hours During Securities Trading. 6) 11/07/2022 - Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/24/2022 - 160 Hours Per Month/6 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Jackson Ryan Rau'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
September 6, 2024 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002RIA
CRD#: 108477
HOUSTON, TX
Current
September 6, 2024 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002RIA
BD
CRD#: 104474
Houston, TX
Past
March 31, 2023 - August 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
March 31, 2023 - August 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
February 2, 2022 - April 5, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
February 2, 2022 - April 5, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
September 14, 2020 - November 10, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
August 14, 2020 - November 10, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
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
Texas(9/6/2024)
IAR
Texas(9/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2020
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.
Company Information
ALLIANCEBERNSTEIN L.P.
CRD#: 108477Houston, TX 77002TRUST BUT VERIFY
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