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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.