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James R Ellis

Alliancebernstein L.P.

San Francisco, CA

CRD 6310744

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Employer firm

Alliancebernstein L.p. CRD 108477

$763B regulatory AUM 16 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Alliancebernstein L.P.

501 Commerce Street, Nashville, TN 37203 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-11
CA RA APPROVED 2022-12-21
FL RA APPROVED 2021-01-11
  • TX RA
    APPROVED_RES
    Since 2023-04-11
  • CA RA
    APPROVED
    Since 2022-12-21
  • FL RA
    APPROVED
    Since 2021-01-11

Branch Locations

555 California Street Suite 4400, San Francisco, CA 94104 • 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
Sanford C. Bernstein & Co., Llc. Washington DC 06/2015 Present
  • 06/2015 → Present
    Sanford C. Bernstein & Co., Llc.
    Washington, DC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-02
  • S66 Uniform Combined State Law Examination
    2020-10-02

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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