AllianceBernstein Limited

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FRN: 147956
Date authorised: 1 April 2013
Companies House: 02551144
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Christopher John Biffen
IRN CJB01150
- CF20 Significant Mgt (Settlements) (2 Dec 2001 to 1 Jun 2004)
- CF26 Customer Trading (1 Dec 2001 to 1 Jun 2004)
Christopher John Seabolt
IRN CJS01243
- CF26 Customer Trading (13 Feb 2004 to 1 Oct 2004)
Christopher Moussa Toub
IRN CMT01063
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF27 Investment Management (8 Nov 2005 to 31 Oct 2007)
- CF21 Investment Adviser (8 Nov 2005 to 31 Oct 2007)
- CF1 Director (22 Apr 2005 to 30 Sep 2009)
- CF3 Chief Executive (22 Apr 2005 to 30 Jun 2009)
- CF8 Apportionment and Oversight (22 Apr 2005 to 31 Oct 2007)
Christopher Nikolich
IRN CXN01136
- CF21 Investment Adviser (15 Apr 2005 to 15 Feb 2006)
- CF27 Investment Management (15 Apr 2005 to 15 Feb 2006)
Clair Elizabeth Gibson
IRN CEG01038
- CF11 Money Laundering Reporting (12 Jul 2005 to 15 Jul 2008)
- CF10 Compliance Oversight (12 Jul 2005 to 15 Jul 2008)
Clare Louise Nisbet
IRN CLN01018
- [FCA CF] Material risk taker (1 Jul 2022 to 27 Jan 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Jan 2023)
- CF11 Money Laundering Reporting (5 Jun 2018 to 8 Dec 2019)
Clark Coffee
IRN CXC01541
- [FCA CF] Material risk taker (since 13 Jul 2022)
- SMF18 Other Overall Responsibility (since 1 Jul 2022)
- [FCA CF] Client dealing (since 11 Feb 2021)
- [FCA CF] Manager of certification employee (13 May 2022 to 15 May 2024)
Claude Andre Chene
IRN CAC01073
- CF3 Chief Executive (30 Jun 2009 to 13 Jul 2011)
- CF30 Customer (1 Nov 2007 to 13 Jul 2011)
- CF1 Director (30 Nov 2005 to 13 Jul 2011)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Claudio Rondolini
IRN CXR01457
- CF30 Customer (27 Nov 2009 to 31 Jan 2013)
Clive Ian Richardson
IRN CIR01009
- CF30 Customer (1 Nov 2007 to 6 Oct 2008)
- CF27 Investment Management (10 Oct 2007 to 31 Oct 2007)
- CF21 Investment Adviser (10 Oct 2007 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Lacarne Holdings Limited (no longer appointed)
FRN 937850 · Appointed 5 Nov 2020 · Until 3 Dec 2021

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.