James S. Thompson

ALLIANCEBERNSTEIN L.P.

Philadelphia, PA 19103

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CRD#: 3073346

Professional summary

James Seth Thompson is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Philadelphia, Pennsylvania and SANFORD C. BERNSTEIN & CO., LLC located in Philadelphia, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Seth Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 24, 2018 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 1735 Market Street 34th Floor, Philadelphia, PA 19103

RIA

CRD#: 108477

Philadelphia, PA

Current

March 29, 2018 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 1735 Market Street Suite 3800, Philadelphia, PA 19103

RIA

CRD#: 104474

Philadelphia, PA

Past

December 22, 2011 - October 15, 2021

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

March 3, 2011 - October 10, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WEST CHESTER, PA

Past

August 12, 2004 - December 31, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

October 14, 1998 - August 6, 2004

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/5/2022)

California
(5/28/2020)

Colorado
(1/5/2022)

Connecticut
(4/27/2022)

Delaware
(1/5/2022)

District of Columbia
(7/12/2022)

Georgia
(3/23/2021)

Illinois
(1/5/2022)

Maryland
(10/8/2025)

Massachusetts
(1/5/2022)

Minnesota
(1/5/2022)

Mississippi
(9/30/2024)

New York
(3/29/2018)

IAR

New York
(5/7/2021)

Ohio
(1/5/2022)

Pennsylvania
(10/15/2021)

IAR

Pennsylvania
(12/16/2021)

Tennessee
(1/5/2022)

Texas
(1/5/2022)

IAR

Texas
(1/23/2022)

Virginia
(3/17/2021)

Washington
(1/5/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/20/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/29/2010

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Firm Stability Insights

James S. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Seth Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

VOYA FINANCIAL PARTNERS, LLC

DIRECTED SERVICES LLC

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2018

Series 63

Date: 4/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2018

Series 6

Date: 10/5/1998

Series 26

Date: 10/29/2010

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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