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James Seth Thompson

Alliancebernstein L.P.

Philadelphia, PA

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Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-23
PA RA APPROVED 2021-12-16
NY RA APPROVED 2021-05-07
  • TX RA
    APPROVED_RES
    Since 2022-01-23
  • PA RA
    APPROVED
    Since 2021-12-16
  • NY RA
    APPROVED
    Since 2021-05-07

Branch Locations

1735 Market Street Suite 3800, Philadelphia, PA 19103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Alliancebernstein Investments, Inc. New York NY 12/2011 Present
  • 12/2011 → Present
    Alliancebernstein Investments, Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-20
S63 Uniform Securities Agent State Law Examination 1999-04-01
  • S65 Uniform Investment Adviser Law Examination
    2018-07-20
  • S63 Uniform Securities Agent State Law Examination
    1999-04-01

View on SEC IAPD

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Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA
CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA
GLOBAL ADVISERS, LLC · PHILADELPHIA, PA
BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA
VERITABLE FINANCIALS LLC · PHILADELPHIA, PA
CHARLES SCHWAB & CO., INC. · Philadelphia, PA
MORGAN STANLEY · Philadelphia, PA
J.P. MORGAN SECURITIES LLC · Philadelphia, PA

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