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Lindsey Mummert Rocks

Sanford C. Bernstein & CO., LLC

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About Lindsey Mummert Rocks

Lindsey Rocks is a financial advisor who has been working in the industry since 2008. Lindsey is currently registered with Sanford C. Bernstein & Co., LLC. Lindsey is licensed to provide financial advice in Pennsylvania. Lindsey has experience in securities and investment advisory services.

Firm Information

Lindsey Rocks is currently registered with Sanford C. Bernstein & CO., LLC. Sanford C. Bernstein & CO., LLC is a Limited Liability Company, registered with the SEC and in 53 states. It was formed on August 16, 2000, and has its main office in Nashville, TN. The firm manages between $1 billion and $10 billion in assets for various clients, including pooled investment vehicles, insurance companies, charitable organizations, high-net-worth individuals, and state or municipal government entities. Their advisory services primarily focus on portfolio management for pooled investment vehicles.
Sanford C. Bernstein & CO., LLC

501 COMMERCE STREET

NASHVILLE, TN 37203

$3.71B

Assets Under Management

Not reported

Total Clients

271

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d, miscellaneous

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Lindsey Rocks’s Registration & Firm History

PA

08/24/2010 - Present

Sanford C. Bernstein & CO., LLC (PHILADELPHIA PA)

MD

02/08/2008 - 08/16/2010

M&T SECURITIES, INC. (TIMONIUM MD)

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Licenses & Designations

BC

Issued 05/15/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/27/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/02/2010

Series 7 - General Securities Representative Examination

BC

Issued 02/07/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lindsey Mummert Rocks.
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