RW
Robert A. Westropp
ALLIANCEBERNSTEIN L.P.
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 814048
RW
Professional summary
Robert Anthony Westropp JR, who also goes by Robert A Westropp, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Chicago, Illinois and SANFORD C. BERNSTEIN & CO., LLC located in Chicago, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, PC and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert A Westropp
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) BusinessName: Notre Dame Cathedral Latin School INVESTMENT RELATED: Yes, Investment Related ADDRESS: 13000 Auburn Road, Chardon, OH 44024 NATURE OF BUSINESS: Parochial High School and grade school POSITION: Investment Committee RELATIONSHIP: 2021-10-01 APPROXIMATE NUMBER HOURS: 1 hours/month, 0 hours during trading hours YOUR DUTIES:
CRS (Client Relationship Summary) - RIA
Click below to view Robert Anthony Westropp 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
October 5, 2000 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 227 West Monroe Suite 3700, Chicago, IL 60606RIA
CRD#: 108477
CHICAGO, IL
Current
December 7, 2000 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606RIA
BD
CRD#: 104474
Chicago, IL
Past
December 10, 1997 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
NEW YORK, NY
Past
September 26, 1978 - October 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 23, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Alaska(3/21/2014)
RR
Arizona(9/9/2002)
RR
California(12/7/2000)
RR
Colorado(6/6/2019)
RR
Connecticut(7/29/2014)
RR
Delaware(12/15/2015)
RR
District of Columbia(4/6/2018)
RR
Florida(12/7/2000)
IAR
Florida(1/24/2014)
RR
Georgia(12/7/2000)
IAR
Illinois(10/5/2000)
RR
Illinois(12/7/2000)
RR
Indiana(12/7/2000)
RR
Iowa(12/7/2000)
RR
Kansas(7/29/2014)
RR
Massachusetts(12/7/2000)
RR
Michigan(12/21/2000)
RR
Minnesota(3/5/2024)
RR
Missouri(12/7/2000)
RR
Nevada(11/27/2023)
RR
New Jersey(12/1/2017)
RR
New York(12/7/2000)
IAR
New York(7/9/2022)
RR
North Carolina(12/7/2000)
RR
Ohio(12/7/2000)
RR
Oregon(11/7/2013)
RR
Pennsylvania(10/13/2003)
RR
Rhode Island(11/7/2023)
RR
South Carolina(7/24/2014)
RR
Tennessee(7/29/2014)
RR
Texas(12/7/2000)
IAR
Texas(12/20/2013)
RR
Utah(4/15/2014)
RR
Virginia(5/16/2019)
RR
Washington(1/8/2018)
RR
Wisconsin(12/7/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral 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.
