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.

• Brijesh Rashmikant Parmar

  IRN BXP01192

  • CF26 Customer Trading (22 Dec 2003 to 28 Apr 2006)
• Bruno Josef Straessle

  IRN BJS01125

  • CF30 Customer (21 Feb 2008 to 30 Apr 2013)
• Candice Reddan

  IRN CXR01394

  • CF30 Customer (1 Nov 2007 to 5 Oct 2009)
  • CF26 Customer Trading (25 Jul 2007 to 31 Oct 2007)
• Carl David Sells

  IRN CDS01053

  • CF30 Customer (1 Nov 2007 to 5 Sep 2014)
  • CF26 Customer Trading (14 Aug 2006 to 31 Oct 2007)
• Carl James Harris

  IRN CXH00282

  • [FCA CF] Client dealing (25 Jan 2021 to 31 Aug 2022)
• Carl Jones

  IRN CXJ08458

  • [FCA CF] Client dealing (since 13 Sep 2024)
• Carolyn Stone

  IRN CXS01685

  • CF30 Customer (1 Nov 2007 to 19 Mar 2009)
  • CF21 Investment Adviser (29 Mar 2007 to 31 Oct 2007)
  • CF27 Investment Management (29 Mar 2007 to 31 Oct 2007)
• Cassandra Synnott

  IRN CXS00515

  • SMF18 Other Overall Responsibility (since 31 May 2024)
  • [FCA CF] Material risk taker (since 20 May 2024)
  • [FCA CF] Material risk taker (1 Jul 2022 to 27 Oct 2023)
  • SMF18 Other Overall Responsibility (21 Feb 2022 to 27 Oct 2023)
• Catherine Ruth Spencer

  IRN CXS00199

  • SMF18 Other Overall Responsibility (13 May 2021 to 28 Feb 2022)
• Charles Andrew Southgate

  IRN CAS01109

  • CF21 Investment Adviser (9 Sep 2004 to 6 Dec 2004)
  • CF27 Investment Management (9 Sep 2004 to 6 Dec 2004)

• Lacarne Holdings Limited (no longer appointed)

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

No changes recorded yet.