James I. Mallinson

ALLIANCEBERNSTEIN L.P.

WASHINGTON, DC 20006

Some features on this profile are disabled

CRD#: 5620811

Professional summary

James Iain Alexander Mallinson, CFP®, who also goes by James Mallinson, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Washington, District Of Columbia and SANFORD C. BERNSTEIN & CO., LLC located in Washington, District Of Columbia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Mallinson

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 Iain Alexander Mallinson'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

July 27, 2012 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 800 Connecticut Avenue N.w 1001, Washington, DC 20006

RIA

CRD#: 108477

WASHINGTON, DC

Current

June 27, 2011 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 800 Connecticut Avenue, N.w. Suite 1100, Washington, DC 20006-2720

RIA

CRD#: 104474

Washington, DC

Past

September 18, 2009 - June 23, 2011

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

VIENNA, VA

Past

December 18, 2008 - June 23, 2011

SIGNATOR INVESTORS, INC.

CRD#: 468

VIENNA, VA

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

Alaska
(2/10/2022)

Arizona
(12/8/2016)

California
(12/5/2014)

Colorado
(12/5/2014)

Connecticut
(12/5/2014)

Delaware
(12/5/2014)

District of Columbia
(6/27/2011)

IAR

District of Columbia
(7/27/2012)

Florida
(8/27/2014)

IAR

Florida
(9/5/2014)

Georgia
(1/21/2015)

Illinois
(12/5/2014)

Iowa
(2/10/2022)

Kentucky
(3/12/2025)

Maine
(12/5/2014)

Maryland
(7/8/2014)

Massachusetts
(12/5/2014)

Michigan
(12/5/2014)

Minnesota
(4/25/2025)

Mississippi
(5/24/2021)

IAR

Mississippi
(3/22/2023)

Missouri
(3/26/2024)

Montana
(8/21/2023)

New Jersey
(2/10/2022)

New Mexico
(1/4/2024)

New York
(7/8/2014)

IAR

New York
(5/7/2021)

North Carolina
(12/8/2014)

Ohio
(1/14/2015)

Oklahoma
(2/10/2022)

Pennsylvania
(12/5/2014)

Rhode Island
(2/10/2022)

South Carolina
(12/5/2014)

Tennessee
(12/5/2014)

Texas
(1/3/2017)

IAR

Texas
(1/3/2017)

Utah
(2/13/2020)

Vermont
(11/2/2022)

Virginia
(2/20/2013)

IAR

Virginia
(7/13/2015)

West Virginia
(12/5/2014)

Wisconsin
(12/5/2014)

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: 9/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/11/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/28/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/17/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/10/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/20/2013

General Securities Sales Supervisor - General Module 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James I. Mallinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Iain Alexander Mallinson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2009

Series 63

Date: 3/12/2009

SIE

Date: 10/1/2018

Series 31

Date: 4/11/2013

Series 7

Date: 9/28/2011

Series 6

Date: 12/17/2008

Series 9

Date: 9/10/2013

Series 10

Date: 8/20/2013

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

Similar Advisors