AllianceBernstein Limited

• Principal Place of Business

  60 London Wall

  London

  EC2M 5SJ

  UNITED KINGDOM

  Phone

  +442074700100

  Web

  https://www.alliancebernstein.com

• Complaints Contact

  60 London Wall

  London

  EC2M 5SJ

  UNITED KINGDOM

  Phone

  +442079594671

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Daria Murray

  IRN DXK01281

  • CF30 Customer (15 Sep 2008 to 3 Feb 2014)
• Darren Edward Nicholls

  IRN DEN01014

  • CF28 Systems and controls (16 May 2011 to 5 Sep 2013)
• Darren Kenneth Williams

  IRN DXW00270

  • [FCA CF] Manager of certification employee (25 Jan 2021 to 19 Oct 2021)
  • [FCA CF] Client dealing (25 Jan 2021 to 19 Oct 2021)
• David Andrew Steyn

  IRN DAS01121

  • CF3 Chief Executive (6 Dec 2011 to 3 Jan 2012)
  • CF30 Customer (1 Nov 2007 to 3 Jan 2012)
  • CF16 Significant Mgt (Desgntd Investment Business) (30 Nov 2005 to 10 May 2007)
  • CF1 Director (24 Jul 2003 to 30 Nov 2005)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Edward Meadows

  IRN DEM01037

  • CF30 Customer (1 Nov 2007 to 20 Jul 2009)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• David George William Porter

  IRN DXP00220

  • [FCA CF] Significant management (9 Dec 2019 to 28 May 2021)
• David Grant Robinson

  IRN DGR01069

  • CF30 Customer (11 Dec 2008 to 8 Feb 2010)
• David John Willcox

  IRN DXW01255

  • CF21 Investment Adviser (1 Dec 2001 to 18 Apr 2003)
  • CF27 Investment Management (1 Dec 2001 to 18 Apr 2003)
• David Martin

  IRN DXM01709

  • CF14 Risk Assessment (17 Apr 2003 to 1 Apr 2007)
• David Roger Hutchins

  IRN DRH01071

  • [FCA CF] Material risk taker (since 1 Jul 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (13 Nov 2017 to 8 Dec 2019)
  • CF29 Significant management (20 Nov 2009 to 4 Jan 2013)
  • CF30 Customer (16 May 2008 to 8 Dec 2019)

• Lacarne Holdings Limited (no longer appointed)

  FRN 937850 · Appointed 5 Nov 2020 · Until 3 Dec 2021

No changes recorded yet.