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.

• Marco Signorini

  IRN MXS01991

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2021)
  • CF30 Customer (17 Apr 2019 to 8 Dec 2019)
• Maria Claudia Sanchez Buenaventura

  IRN MXS00500

  • [FCA CF] Client dealing (10 Dec 2019 to 13 Mar 2023)
• Marilyn FEDAK

  IRN MXF01591

  • CF1 Director (9 Feb 2011 to 20 Sep 2012)
• Mark Alan Hamilton

  IRN MAH01165

  • CF27 Investment Management (1 Dec 2001 to 8 Jun 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 8 Jun 2006)
• Mark Anton Luning

  IRN MAL01065

  • CF30 Customer (1 Nov 2007 to 3 Dec 2008)
  • CF1 Director (7 May 2004 to 18 Aug 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 1 Jun 2004)
• Mark Herbert Breedon

  IRN MHB01008

  • CF27 Investment Management (1 Dec 2001 to 10 Dec 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 10 Dec 2002)
  • CF1 Director (1 Dec 2001 to 10 Dec 2002)
• Mark Hugh Joseph Azzopardi

  IRN MHA01011

  • CF30 Customer (11 Dec 2008 to 9 Aug 2010)
• Mark Ivor Phelps

  IRN MIP01008

  • [FCA CF] Material risk taker (1 Jul 2022 to 4 Nov 2022)
  • SMF18 Other Overall Responsibility (2 Sep 2020 to 4 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 2 Sep 2020)
  • CF1 Director (21 Dec 2017 to 8 Dec 2019)
  • CF30 Customer (16 Dec 2013 to 8 Dec 2019)
• Mark John Lawrence

  IRN MJL00109

  • CF21 Investment Adviser (1 Dec 2001 to 1 Jun 2007)
  • CF27 Investment Management (1 Dec 2001 to 1 Jun 2007)
• Mark Langlais

  IRN MXL00660

  • [FCA CF] Significant management (since 2 May 2024)

• Lacarne Holdings Limited (no longer appointed)

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

No changes recorded yet.