Adviser and broker representative · Alliancebernstein L.P.
Kathleen Dumes
CRD 5944230 · New York, NY
At a glance
Kathleen Dumes is an investment adviser representative with Alliancebernstein L.P. in New York, NY, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Kathleen’s SEC record dates to 2013, about 13 years ago. Kathleen is also registered as a broker representative. Designations on file: Chartered Financial Analyst.
Current advisory firm
- Alliancebernstein L.P.Since February 2023New York, NY · $763B in regulatory assets
SEC adviser record
- Registered since
- 2013 (13 years)
- Designations
- Chartered Financial Analyst
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Kathleen’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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