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.

• Jeremy Sterngold

  IRN JXS02364

  • CF30 Customer (2 Dec 2008 to 22 Feb 2012)
• Jessel Rishi

  IRN JXP01975

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Feb 2016 to 8 Dec 2019)
• Jessica Bohn

  IRN JXB04179

  • SMF3 Executive Director (since 15 Dec 2025)
  • [FCA CF] Material risk taker (since 6 Nov 2025)
• Jessica Katherine Weber

  IRN JKW01069

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Nov 2020)
  • CF30 Customer (2 Feb 2010 to 30 Jan 2017)
• Joanna Clare Green

  IRN JCG01151

  • [FCA CF] Material risk taker (since 1 Jul 2022)
  • SMF12 Chair of the Remuneration Committee (since 17 Jun 2021)
  • SMF2 Chief Finance (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (20 Jun 2017 to 8 Dec 2019)
  • CF28 Systems and controls (20 Jun 2017 to 8 Dec 2019)
• Joanne Marie McCluskey

  IRN JXM01498

  • CF30 Customer (1 Nov 2007 to 17 Aug 2009)
  • CF27 Investment Management (3 Jan 2007 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 26 Sep 2006)
• Joanne Rose

  IRN JXR01208

  • CF26 Customer Trading (1 Dec 2001 to 3 Sep 2004)
• Jodie Tapscott

  IRN JXT00436

  • [FCA CF] Client dealing (7 Apr 2022 to 18 Jun 2025)
• Johan Lars Slatteby

  IRN JLS01121

  • CF30 Customer (1 Nov 2007 to 28 Sep 2010)
  • CF26 Customer Trading (10 May 2004 to 27 Sep 2006)
• John Conway Townsend

  IRN JCT01067

  • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
  • CF21 Investment Adviser (12 May 2004 to 31 Oct 2007)
  • CF27 Investment Management (12 May 2004 to 31 Oct 2007)

• Lacarne Holdings Limited (no longer appointed)

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

No changes recorded yet.