SC
SC
Sue Caplan
38 Years of Experience
New York, NY
1 DisclosureBroker
Sue Caplan is a registered investment advisor at Sanford C. Bernstein & CO., LLC, based in New York, NY, with 38 years of industry experience. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning. Their firm serves 22 clients with $1.6B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
439 advisors
IM Fee
Planning only
Assets Under Management
$1.6B
Fee Structure
Minimum Investment:$1M
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
New York, NY
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2013Settled
Employment History
Current Registrations
Alliancebernstein L.P.
September 2007 - Present · 18 yrs 8 mos
Sanford C. Bernstein & CO., LLC
September 2007 - Present · 18 yrs 8 mos
Sanford C. Bernstein & CO., LLCBroker
September 2007 - Present · 18 yrs 8 mos
Previous Registrations
Neuberger Berman, LLC
October 2006 - September 2007 · 11 mos
Neuberger Berman, LLCBroker
September 2006 - September 2007 · 1 yr
Bear, Stearns & CO. INC.Broker
August 1991 - July 2006 · 14 yrs 11 mos
Labe, Simpson & CO.Broker
March 1987 - July 1991 · 4 yrs 4 mos
State Registrations24 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.