CRD #104474 · FINRA BrokerCheck + SEC IAPD

Sanford C. Bernstein & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sanford C. Bernstein & Co., LLC ranks #151 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #1 of 42 on the same disclosure sort used on the state browse page. Sanford C. Bernstein & Co., LLC carries 35 BrokerCheck disclosures across 27 branch offices - elevated load for a mid-sized firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
27
branch offices
35
disclosures
#151 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 104474 Sanford C. Bernstein & Co., LLC

Sanford C. Bernstein & Co., LLC · Grade D · 35 disc · 1.30/office · Mid-sized firm

  • CRD 104474
  • GRADE D
  • DISC 35
  • REG 31
  • ARB 4
  • CIV 0
  • BRANCH 27
  • PER-OFF 1.30
  • RANK #151 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Keybanc Capital Markets Inc. (1.28 disc/office)

Keybanc Capital Markets…1.28Tradestation Securities…1.50Newbridge Securities Co…1.09Sanford C. Bernstei… (this)1.30
Disclosures per office among mid-sized firm peers (lower is cleaner)

Sanford C. Bernstein & Co., LLC ranks #151 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.30 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

27 offices

FINRA: Large firm

Total disclosures

35 events

On FINRA BrokerCheck

Regulatory events

31 actions

89% of all disclosures

Disclosures per office

1.30 per office

35 ÷ 27 offices

Sanford C. Bernstein & Co., LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 23% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). This entry sits in this band. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 31
Arbitrations 4
Civil Events 0
Total 35

Counts for Sanford C. Bernstein & Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 31 Arbitration 4 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Nashville, TN
CRD Number
104474

Regulator-heavy mix

Sanford C. Bernstein & Co., LLC in the heavier-disclosure third

Sanford C. Bernstein & Co., LLC carries 35 BrokerCheck disclosures across 27 branch offices - a heavier-third raw book among graded firms (#151 of 20,055). Regulator-initiated events are 89% of the book (31 regulatory / 4 arbitration / 0 civil).

89% of Sanford C. Bernstein & Co., LLC's 35 disclosures are regulator-initiated (31 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Sanford C. Bernstein & Co., LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Tennessee cohort · 11× state average

Sanford C. Bernstein & Co., LLC sits above the Tennessee disclosure average

Sanford C. Bernstein & Co., LLC reports 35 BrokerCheck disclosures, 11× the Tennessee average of 3.3 across 42 graded firms with a principal-office state on file.

In Tennessee, 23 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Tennessee state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Sanford C. Bernstein & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sanford C. Bernstein & Co., LLC ranks #151 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #1 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Sanford C. Bernstein & Co., LLC?
A grade of D reflects Sanford C. Bernstein & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 35 total disclosures across 27 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sanford C. Bernstein & Co., LLC have?
Sanford C. Bernstein & Co., LLC has 35 total FINRA disclosures, including 31 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sanford C. Bernstein & Co., LLC?
Sanford C. Bernstein & Co., LLC operates 27 branch offices and is classified by FINRA as a large firm, registered in TN (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Sanford C. Bernstein & Co., LLC's disciplinary record?
You can verify Sanford C. Bernstein & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104474. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Sanford C. Bernstein & Co., LLC's 35 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sanford C. Bernstein & Co., LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Sanford C. Bernstein & Co., LLC carries 35 disclosures across 27 branch offices (about 1.30 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Sanford C. Bernstein & Co., LLC, both outside TN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Keybanc Capital Markets Inc. (OH) - 1.28 disclosures/office, nearest mid-sized firm peer to Sanford C. Bernstein & Co., LLC's 1.30
  • Tradestation Securities, Inc. (FL) - 1.50 disclosures/office, nearest mid-sized firm peer to Sanford C. Bernstein & Co., LLC's 1.30
  • Newbridge Securities Corporation (FL) - 1.09 disclosures/office, nearest mid-sized firm peer to Sanford C. Bernstein & Co., LLC's 1.30
  • Firms in TN - state roster that includes Sanford C. Bernstein & Co., LLC's registration home.
  • Red Flags in Advisor Records - How to read Sanford C. Bernstein & Co., LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 35 disclosures behind Sanford C. Bernstein & Co., LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sanford C. Bernstein & Co., LLC.
  • Compare firms - put Sanford C. Bernstein & Co., LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.