Richard L. Weaver
Professional summary
Richard Lindsay Newton Weaver, who also goes by Richard Lindsay Weaver, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in New York, New York and SANFORD C. BERNSTEIN & CO., LLC located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lindsay Newton Weaver's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2004 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 66 Hudson Boulevard East, New York, NY 10001January 22, 2004 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 66 Hudson Boulevard East, New York, NY 10001July 1, 2003 - December 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1992 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1979 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/19/2012)
(3/19/2012)
(5/23/2018)
(3/19/2012)
(1/3/2019)
(8/6/2012)
(3/19/2012)
(1/22/2004)
(5/28/2022)
(10/5/2022)
(2/9/2022)
(8/13/2015)
(8/22/2015)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
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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