Jeffrey W. Thompson
Professional summary
Jeffrey William Thompson, ChFC®, CLU® is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Houston, Texas and SANFORD C. BERNSTEIN & CO., LLC located in Houston, Texas.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jeffrey has worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey William Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2013 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002January 17, 2013 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002February 26, 2013 - November 13, 2013
SANFORD C. BERNSTEIN & CO., 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
(7/17/2018)
(6/28/2021)
(7/15/2025)
(11/27/2013)
(1/5/2018)
(7/21/2015)
(7/29/2015)
(5/31/2018)
(1/4/2021)
(8/8/2018)
(6/22/2015)
(12/17/2018)
(12/8/2023)
(7/17/2018)
(9/19/2022)
(7/19/2019)
(6/5/2024)
(2/1/2018)
(5/24/2016)
(10/3/2013)
(4/6/2021)
(11/29/2017)
(5/18/2021)
(4/22/2024)
(2/27/2024)
(7/25/2018)
(3/9/2017)
(2/7/2013)
(2/7/2013)
(9/24/2015)
(1/31/2022)
(7/16/2018)
(6/8/2023)
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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Company Information
ALLIANCEBERNSTEIN L.P.
CRD#: 108477Houston, TX 77002TRUST BUT VERIFY
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