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Seth Bernstein

Chief Executive Officer at Alliancebernstein

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Seth Bernstein is Chief Executive Officer of Alliancebernstein L.P., a Nashville investment adviser managing $763B. Seth Bernstein has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Alliancebernstein

Title on Schedule A
Chief Executive Officer
Control
Seth Bernstein is a control person of Alliancebernstein.
Ownership
An individual ownership band is not available in the source record.
Tenure
Seth Bernstein has held the filed role since May 2017.

The firm

Alliancebernstein L.P.
Nashville, TN

Form ADV filed 7 July 2026

$763B AUM30,285 clients1,616 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 3 · 2010
  3. Passed Series 24 · 1995
  4. Passed Series 63 · 1991
  5. Passed Series 7 · 1990

Registrations and exams

Broker registration; no current adviser registration. Seth Bernstein has passed 5 qualifying exams.

Examinations

Series 6319 September 1991
Name
Uniform Securities Agent State Law Examination
Series 2423 June 1995
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 33 February 2010
Name
National Commodity Futures Examination
Series 720 January 1990
Name
General Securities Representative Examination

Individual record

Full name
Seth Perry Bernstein
CRD
2025891
Firm
Alliancebernstein L.P.
Registration status
Broker registration; no current adviser registration
Firm bio
alliancebernstein.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

AB identifies Seth Bernstein as its Chief Executive Officer and notes his earlier asset-management leadership at Equitable Holdings and JPMorgan Chase. AllianceBernstein official biography

Education

Common questions

Where does Seth Bernstein work?

Seth Bernstein has been Chief Executive Officer of Alliancebernstein L.P. since May 2017, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 7 July 2026

Does Seth Bernstein have a current investment-adviser registration?

Seth Bernstein has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Seth Bernstein passed?

Seth Bernstein has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 3 and SIE. The earliest, the Series 7, was passed in January 1990.

Source: IAPD individual record, checked 17 October 2026

Leadership at Alliancebernstein

  • Ahmet Erzan
    President
  • Thomas Simeone
    Chief Financial Officer
  • Karl Sprules
    Chief Operating Officer
  • Paul Emerson
    Chief Compliance Officer
  • Bruce Holley
    Director of Abc
  • Daniel Kaye
    Director of Abc
  • Joan Lamm-Tennant
    Chairman and Director of Abc
  • Nicholas Burritt Lane
    Director of Abc
  • Mark Manley
    General Counsel & Corporate Secretary
  • Das Narayandas
    Director of Abc
  • Mark Pearson
    Director of Ab
  • Robin Raju
    Director of Abc
  • Charles Stonehill
    Director of Abc
  • Todd Walthall
    Director of Abc

Sources

  1. IAPD individual record, CRD 2025891. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Alliancebernstein L.P., filed 7 July 2026. Title, control and ownership bands.
  3. Alliancebernstein team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Seth Bernstein or Alliancebernstein L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.