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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Seth Thompson is a financial advisor with Alliancebernstein LP, a leading global investment management firm. James has been in the financial industry since 1999 and has extensive experience in providing investment advice and portfolio management services to a diverse clientele. James is registered with both FINRA and the SEC, holding various licenses and certifications, including Series 6, 7, 26, 63, and 65. James's areas of expertise include investment advice, financial planning, portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. Before joining Alliancebernstein, James worked with various other reputable firms, including ING Financial Advisors, LLC, Directed Services LLC, and SEI Investments Distribution Co. James is committed to providing clients with personalized and comprehensive financial solutions tailored to their specific needs and goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
PA
01/23/2022 - Present
Alliancebernstein LP (Philadelphia PA)
NY
12/22/2011 - 10/15/2021
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
PA
03/03/2011 - 10/10/2011
ING FINANCIAL ADVISERS, LLC (WEST CHESTER PA)
PA
08/12/2004 - 12/31/2010
DIRECTED SERVICES LLC (WEST CHESTER PA)
PA
10/14/1998 - 08/06/2004
SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)
IA
Issued 07/20/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2010
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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