James R. Bocinsky
Professional summary
James Robert Bocinsky, who also goes by James Bocinsky, Jamie Bocinsky, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Seattle, Washington and SANFORD C. BERNSTEIN & CO., LLC located in Seattle, Washington.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 5 firms and has passed the Series 65, 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 Robert Bocinsky's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2016 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 601 Union Street Suite 4242, Seattle, WA 98101October 21, 2016 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 601 Union Street, Suite 4650, Seattle, WA 98101November 29, 2012 - October 14, 2016
MML INVESTORS SERVICES, LLC
November 16, 2012 - October 14, 2016
MML INVESTORS SERVICES, LLC
February 5, 2007 - November 19, 2012
M HOLDINGS SECURITIES, INC.
March 31, 2006 - November 19, 2012
M HOLDINGS SECURITIES, INC.
June 22, 2005 - April 4, 2006
OSAIC FS, INC.
December 13, 2004 - June 16, 2005
MML INVESTORS SERVICES, LLC
Primary 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
(10/31/2019)
(8/16/2017)
(5/31/2022)
(2/28/2022)
(3/4/2022)
(4/12/2023)
(12/12/2018)
(3/8/2022)
(8/18/2017)
(2/17/2023)
(9/29/2023)
(12/16/2016)
(8/16/2017)
(1/20/2022)
(9/4/2025)
(8/18/2017)
(8/18/2017)
(10/12/2022)
(5/26/2022)
(10/21/2016)
(10/21/2016)
(12/17/2024)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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