Adviser and broker representative · Alliancebernstein L.P.
Thomas S. Roffers
CRD 6503022 · St. Louis Park, MN
At a glance
Thomas S. Roffers is an investment adviser representative with Alliancebernstein L.P. in St. Louis Park, MN, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Thomas’s SEC record dates to 2016, about 10 years ago. Thomas is also registered as a broker representative. Designations on file: Certified Financial Planner.
Current advisory firm
- Alliancebernstein L.P.Since January 2024St. Louis Park, MN · $763B in regulatory assets
SEC adviser record
- Registered since
- 2016 (10 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Thomas’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
- 2 firmsLocked
- 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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