AllianceBernstein Limited

Watch for changes

FRN: 147956
Date authorised: 1 April 2013
Companies House: 02551144
Last scraped: 3 weeks ago

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Jeffrey John Rocque
IRN JJR01066
- CF13 Finance (25 Jan 2007 to 30 May 2007)
Jeffrey Scott Phlegar
IRN JSP01084
- CF30 Customer (1 Nov 2007 to 13 Dec 2011)
- CF27 Investment Management (15 Apr 2005 to 31 Oct 2007)
- CF21 Investment Adviser (15 Apr 2005 to 31 Oct 2007)
- CF16 Significant Mgt (Desgntd Investment Business) (15 Apr 2005 to 1 Feb 2007)
Jennifer Agnes Driscoll
IRN JAD01115
- CF21 Investment Adviser (1 Dec 2001 to 10 Jan 2003)
Jennifer Ann Bonathan
IRN JAB01180
- CF29 Significant management (7 Oct 2009 to 4 Mar 2011)
Jennifer Ann Segal
IRN JAS01173
- CF30 Customer (1 Nov 2007 to 5 Apr 2011)
- CF21 Investment Adviser (8 Sep 2004 to 31 Oct 2007)
Jennifer Julia Norris
IRN JJN01025
- CF30 Customer (1 Nov 2007 to 29 Feb 2012)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 1 Feb 2007)
Jenny Wong
IRN JXW01965
- [FCA CF] Client dealing (25 Jan 2021 to 26 Aug 2021)
Jeremy David Alford
IRN JDA01020
- CF21 Investment Adviser (1 Dec 2001 to 29 Dec 2006)
- CF27 Investment Management (1 Dec 2001 to 29 Dec 2006)
Jeremy David Taylor
IRN JDT01110
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (29 Feb 2016 to 8 Dec 2019)
Jeremy James Warren Cunningham
IRN JJC01045
- CF30 Customer (30 Sep 2011 to 18 Feb 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Lacarne Holdings Limited (no longer appointed)
FRN 937850 · Appointed 5 Nov 2020 · Until 3 Dec 2021

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.