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EMILY REBECCA NEUBERT
EMILY REBECCA LEHMAN
CRD#: 5066542
IA
B
ALLIANCEBERNSTEIN L.P.CRD#: 108477 1400 16th Street
Suite 450
DENVER, CO 80202
Suite 450
DENVER, CO 80202
SANFORD C. BERNSTEIN & CO., LLCCRD#: 104474 1400 16th Street
Suite 450
DENVER, CO 80202
Suite 450
DENVER, CO 80202
0
Disclosures
16
Years of Experience
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State Registrations
B
California 11/12/2012
IA
Colorado 7/31/2015
B
Colorado 7/31/2015
SRO Registrations
B
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IA
Registered with this firm since 11/13/2012
B
Registered with this firm since 11/12/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/21/2012 - 11/06/2012 | LOS ANGELES, CA | |
B | 05/25/2012 - 11/06/2012 | LOS ANGELES, CA | |
IA | 07/27/2007 - 07/06/2010 | LOS ANGELES, CA | |
B | 07/27/2007 - 07/06/2010 | LOS ANGELES, CA | |
IA | 09/25/2006 - 02/06/2007 | LOS ANGELES, CA | |
B | 08/25/2006 - 02/06/2007 | LOS ANGELES, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.