James P. Wallin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Peter Wallin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2006 - December 15, 2022
SANFORD C. BERNSTEIN & CO., LLC
December 2, 2005 - October 19, 2023
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 30, 2003 - July 26, 2005
MORGAN STANLEY & CO. LLC
May 13, 1999 - December 15, 2004
MORGAN STANLEY DISTRIBUTORS INC.
January 21, 1999 - June 29, 2005
MORGAN STANLEY DW INC.
September 28, 1995 - November 18, 1997
LIEBER & COMPANY
July 18, 1988 - January 21, 1994
YAMAICHI INTERNATIONAL (AMERICA) INC.
September 8, 1987 - June 21, 1988
BNY MELLON SECURITIES CORPORATION
March 22, 1984 - June 8, 1987
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/19/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
