James H. Lloyd
Professional summary
James Hudson Lloyd, who also goes by James Hudson Lloyd Mr, James Lloyd, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in San Francisco, California and SANFORD C. BERNSTEIN & CO., LLC located in San Francisco, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Hudson Lloyd's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2009 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 555 California Street, Suite 4300, San Francisco, CA 94104November 25, 2003 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 555 California Street 44th Floor, San Francisco, CA, 94104Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/7/2020)
(11/17/2010)
(6/28/2007)
(4/28/2009)
(3/24/2010)
(3/1/2010)
(3/30/2011)
(9/18/2018)
(9/24/2018)
(4/1/2009)
(9/17/2019)
(11/19/2013)
(6/29/2010)
(8/7/2018)
(1/14/2010)
(1/14/2010)
(7/15/2022)
(3/13/2014)
(7/20/2021)
(11/13/2009)
(4/1/2009)
(11/25/2003)
(12/15/2015)
(3/31/2011)
(4/14/2015)
(3/22/2011)
(3/24/2011)
(3/30/2011)
(6/25/2014)
(11/16/2016)
(12/15/2015)
(1/14/2010)
(2/14/2019)
(1/7/2021)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 10/27/2023 |
Red Flags
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