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.

• Mark Leedham

  IRN MXL24503

  • SMF24 Chief Operations (17 Feb 2020 to 19 Jan 2021)
• Mark Randall Manley

  IRN MRM00038

  • SMF7 Group Entity Senior Manager (24 Mar 2020 to 28 Feb 2022)
  • CF10 Compliance Oversight (11 Jun 2010 to 10 Jun 2011)
  • CF11 Money Laundering Reporting (11 Jun 2010 to 10 Jun 2011)
• Mark Seligmann

  IRN MXS01351

  • CF26 Customer Trading (1 Dec 2001 to 27 Sep 2006)
• Markus Peters

  IRN MXP22557

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (28 Oct 2019 to 8 Dec 2019)
• Markus Schneider

  IRN MXS02623

  • [FCA CF] Client dealing (21 Jan 2021 to 28 Dec 2025)
• Martin Adam Reeves

  IRN MAR01107

  • CF30 Customer (1 Nov 2007 to 16 Sep 2011)
  • CF1 Director (11 May 2004 to 18 Aug 2008)
  • CF21 Investment Adviser (3 Feb 2003 to 31 Oct 2007)
  • CF27 Investment Management (3 Feb 2003 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 3 Feb 2003)
• Martin Brown

  IRN MXB02392

  • CF30 Customer (19 Nov 2007 to 3 Apr 2009)
• Martin John Ash

  IRN MJA01213

  • CF30 Customer (9 Feb 2011 to 29 Jun 2012)
• Martin Vom Hagen

  IRN MXV01145

  • CF30 Customer (1 Nov 2007 to 30 Apr 2013)
  • CF21 Investment Adviser (26 Oct 2005 to 31 Oct 2007)
• Martyn Julian Simmons

  IRN MJS01206

  • CF26 Customer Trading (1 Dec 2001 to 20 Jan 2004)

• Lacarne Holdings Limited (no longer appointed)

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

No changes recorded yet.