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.

• Thomas Wayling

  IRN TXW00280

  • [FCA CF] Significant management (since 10 May 2023)
• Thorsten Winkelmann

  IRN TXW00320

  • [FCA CF] Material risk taker (since 4 Jan 2024)
  • [FCA CF] Client dealing (since 4 Jan 2024)
  • [FCA CF] Manager of certification employee (since 4 Jan 2024)
• Timothy James Banks

  IRN TJB01066

  • CF30 Customer (1 Apr 2011 to 27 Nov 2015)
• Timothy Whishaw

  IRN TXW01354

  • CF30 Customer (17 Jun 2014 to 15 Aug 2016)
• Timothy, Fabrice Ryan

  IRN TFR01007

  • CF1 Director (14 May 2012 to 31 Jan 2015)
  • CF3 Chief Executive (14 May 2012 to 31 Jan 2015)
  • CF30 Customer (14 May 2012 to 31 Jan 2015)
• Titta Isabel Buccellati

  IRN TIB00003

  • CF30 Customer (1 Nov 2007 to 29 Feb 2012)
  • CF21 Investment Adviser (12 Nov 2003 to 31 Oct 2007)
  • CF27 Investment Management (12 Nov 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Sep 2003 to 12 Nov 2003)
• Tom Harris O'Donnell

  IRN THO01008

  • [FCA CF] Client dealing (26 Jan 2022 to 26 Oct 2023)
• Tomas Joseph Hazleton

  IRN TJH01136

  • CF28 Systems and controls (1 Nov 2007 to 31 Dec 2010)
  • CF14 Risk Assessment (1 Apr 2007 to 31 Oct 2007)
• Tomas Kiskis

  IRN TXK01435

  • [FCA CF] Client dealing (11 Jan 2021 to 17 May 2023)
  • CF30 Customer (23 Sep 2017 to 29 Mar 2019)
• Tommy Bardong

  IRN TXB01144

  • CF16 Significant Mgt (Desgntd Investment Business) (2 Dec 2001 to 22 Nov 2006)

• Lacarne Holdings Limited (no longer appointed)

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

No changes recorded yet.