CH
Caleb J. Hanie
ALLIANCEBERNSTEIN L.P.
DALLAS, TX 75201
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CRD#: 7196918
CH
Professional summary
Caleb Jeffrey Hanie is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Dallas, Texas and SANFORD C. BERNSTEIN & CO., LLC located in Dallas, Texas.
Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Caleb has worked at 3 firms and has passed the Series 66, 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.
1) I am on the advisory board for a company called PracticeHero. I have no time commitments to this, and I simply own some shares in the company. This company is a software-based sports field rental platform. It is a startup in its infancy. 2) Name: Unmatched Media Group, LLC (Practice Hero DBA) Address: 782 Sagewood Dr. Frisco, TX 75036 Business Description: Practice Hero is an online field rental platform for youth sports leagues and teams. Business is not investment related Projected Start Date: 04/25/19 Capacity: Independent Contractor/Consultant Duties Performed: Provide general advice (non-financial/investement related), introductions to my network Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 3) NAME OF ENTITY: Quint Events ADDRESS: 9300 Harris Corners Parkway, Suite 120, Charlotte, NC 28269 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Event Operator for Sports Organizations CAPACITY: Independent Contractor/Consultant START DATE: 10/31/2021 DUTIES: I will be making multiple celebrity appearances as a former Chicago Bears player and current Alumni. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Oklahoma Vacation Rental ADDRESS: 365 Split Shot Cir, Broken Bow OK 74728 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Short term rental property CAPACITY: Owner - Active START DATE: 9/24/2021 DUTIES: I own the rental property with my wife. We will actively manage the listing and operations of the property. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Chicago Bears Football Club ADDRESS: 1920 Football Drive, Lake Forest IL 60045 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Pro football club CAPACITY: Independent Contractor/Consultant START DATE: 10/1/2020 DUTIES: Showing up to periodic appearances as a former Bears Alumni HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Jeffrey Hanie'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 5, 2024 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 2000 Mckinney Avenue Suite 2100, Dallas, TX 75201RIA
CRD#: 108477
DALLAS, TX
Current
September 5, 2024 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 2000 Mckinney Avenue, Suite 2100, Dallas, TX 75201RIA
BD
CRD#: 104474
Dallas, TX
Past
March 14, 2020 - August 21, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
Rockwall, TX
Past
January 31, 2020 - August 21, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
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(9/19/2024)
RR
Arizona(9/19/2024)
RR
California(9/19/2024)
RR
Colorado(9/19/2024)
RR
Florida(9/19/2024)
RR
Georgia(9/19/2024)
RR
Illinois(9/19/2024)
RR
Massachusetts(3/27/2025)
RR
Mississippi(9/19/2024)
RR
Ohio(9/19/2024)
RR
Oklahoma(9/19/2024)
RR
Oregon(9/19/2024)
RR
Pennsylvania(9/19/2024)
RR
South Carolina(9/19/2024)
RR
Tennessee(9/19/2024)
RR
Texas(9/5/2024)
IAR
Texas(9/5/2024)
RR
Virginia(9/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2020
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALLIANCEBERNSTEIN L.P.
CRD#: 108477Dallas, TX 75201TRUST BUT VERIFY
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