| Andrew Chipman | Southern Oak Capital, LLC other | Alliancebernstein L.P. asset manager | Other | Feb 2, 2022 | Apr 6, 2022 (63 d) |
| Justin Daniel Moon | T. Rowe Price Advisory Services, Inc. independent RIA | Alliancebernstein L.P. asset manager | Other | Jan 10, 2022 | Oct 16, 2023 (644 d) |
| Hannah Metcalf | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. other | Other | Dec 14, 2021 | Jan 26, 2022 (43 d) |
| Colby Adelle Whitley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. other | Other | Dec 6, 2021 | Dec 10, 2021 |
| Christine Jane Han | Ieq Capital, LLC independent RIA | Alliancebernstein L.P. other | Other | Dec 1, 2021 | Mar 28, 2022 (117 d) |
| Michael Beau Letzter | Rockefeller Capital Management BD affiliated | Alliancebernstein L.P. other | Other | Nov 8, 2021 | Nov 16, 2021 |
| Sivan Loren Sack | Blackrock Investment Management, LLC other | Alliancebernstein L.P. asset manager | Other | Oct 29, 2021 | Aug 22, 2023 (662 d) |
| John Eric Moore | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. other | Other | Oct 15, 2021 | Oct 19, 2021 |
| Sean Kekoa Stubbs | Schwab Wealth Advisory, Inc. no RAUM | Alliancebernstein L.P. other | Other | Oct 12, 2021 | Oct 11, 2021 |
| Sean Michael Agnew | Mill Creek Capital Advisors, LLC independent RIA | Alliancebernstein L.P. other | Other | Oct 8, 2021 | Aug 19, 2021 |
| Chandler Stafford | Advisors Asset Management, Inc. other | Alliancebernstein L.P. other | Other | Oct 1, 2021 | Oct 22, 2021 |
| Christopher Andre Torres | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. asset manager | Other | Sep 20, 2021 | Aug 17, 2022 (331 d) |
| Luke Zulauf | Fidelity Personal And Workplace Advisors BD affiliated | Alliancebernstein L.P. other | Other | Sep 13, 2021 | Sep 8, 2021 |
| Patrick Mueller | First Command Advisory Services BD affiliated | Alliancebernstein L.P. asset manager | Other | Sep 13, 2021 | Feb 14, 2023 (519 d) |
| Bradley Thomas Gadomski | Charles Schwab & Co., Inc. national BD | Alliancebernstein L.P. other | Other | Sep 8, 2021 | Oct 13, 2021 (35 d) |
| Cameron John Gardner | Raymond James & Associates, Inc. national BD | Alliancebernstein L.P. other | Other | Sep 8, 2021 | Oct 4, 2021 |
| Evelyn Vigistain | We Family Offices independent RIA | Alliancebernstein L.P. asset manager | Other | Aug 27, 2021 | Oct 9, 2024 (1139 d) |
| David Dexter Oxley | Raymond James Financial Services Advisors, Inc BD affiliated | Alliancebernstein L.P. other | Other | Aug 23, 2021 | Nov 17, 2021 (86 d) |
| Daniel Lukas Watson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. asset manager | Other | Aug 9, 2021 | Jun 17, 2022 (312 d) |
| Darren Ray Kataja | Truist Advisory Services, Inc. BD affiliated | Alliancebernstein L.P. other | Other | Jul 28, 2021 | Oct 18, 2021 (82 d) |
| David Alexander Vitti | Citigroup Global Markets Inc. BD affiliated | Alliancebernstein L.P. other | Other | Jul 28, 2021 | Sep 9, 2021 (43 d) |
| James T Leever | Rhame & Gorrell Wealth Management independent RIA | Alliancebernstein L.P. other | Other | Jul 22, 2021 | Aug 19, 2021 |
| Benedict O. Obaze | Sei Investments Management Corp other | Alliancebernstein L.P. other | Other | Jun 28, 2021 | Dec 11, 2021 (166 d) |
| Zachary Alan Schiller | Morgan Stanley wirehouse | Alliancebernstein L.P. asset manager | Other | Jun 15, 2021 | Oct 25, 2023 (862 d) |
| Ryan James Smith | J.P. Morgan Securities LLC wirehouse | Alliancebernstein L.P. other | Other | May 20, 2021 | Jun 3, 2021 |
| Benjamin Beiser | Edward Jones national BD | Alliancebernstein L.P. other | Other | Apr 19, 2021 | Oct 18, 2021 (182 d) |
| Lydia Pinnell | Edward Jones national BD | Alliancebernstein L.P. asset manager | Other | Mar 15, 2021 | Sep 13, 2024 (1278 d) |
| Jennifer Elizabeth Colby-Oliver | Edward Jones national BD | Alliancebernstein L.P. other | Other | Feb 4, 2021 | Apr 12, 2021 (67 d) |
| Gregory Charles Paul | Morgan Stanley wirehouse | Alliancebernstein L.P. other | Other | Jan 14, 2021 | Feb 11, 2021 |
| Christopher Robert Peck | Edward Jones national BD | Alliancebernstein L.P. other | Other | Dec 4, 2020 | Jul 24, 2019 |
| Gregory M Lange | Morgan Stanley wirehouse | Alliancebernstein L.P. other | Other | Nov 19, 2020 | Dec 8, 2020 |
| Adam John Geist | Bb&T Securities, LLC BD affiliated | Alliancebernstein L.P. other | Other | Nov 16, 2020 | Apr 8, 2021 (143 d) |
| Laurie Anne Atkins | J.P. Morgan Securities LLC wirehouse | Alliancebernstein L.P. other | Other | Nov 16, 2020 | Feb 9, 2021 (85 d) |
| Benjamin Klaue Lucas | Raymond James & Associates, Inc. national BD | Alliancebernstein L.P. other | Other | Nov 10, 2020 | Nov 11, 2020 |
| Willie James Thomas | Eagle Strategies LLC BD affiliated | Alliancebernstein L.P. other | Other | Nov 2, 2020 | Jan 15, 2021 (74 d) |
| Marco Gino Miranda | Pruco Securities, LLC BD affiliated | Alliancebernstein L.P. other | Other | Oct 12, 2020 | Nov 2, 2020 |
| Christian Green | Wells Fargo Advisors wirehouse | Alliancebernstein L.P. asset manager | Other | Aug 5, 2020 | Feb 24, 2026 (2029 d) |
| Austin Keith Lee | Truist Advisory Services, Inc. BD affiliated | Alliancebernstein L.P. asset manager | Other | Jun 8, 2020 | Mar 6, 2026 (2097 d) |
| Carol Rose | Wells Fargo Advisors wirehouse | Alliancebernstein L.P. other | Other | May 7, 2020 | May 27, 2020 |
| Francisco Baixauli | Fortune Partners Group LLC mixed wealth | Alliancebernstein L.P. other | Other | Apr 24, 2020 | May 13, 2020 |
| Paul Anthony Carl | Wells Fargo Advisors wirehouse | Alliancebernstein L.P. other | Other | Jan 21, 2020 | Feb 18, 2020 |
| Deandre Lewis | Invesco Advisers, Inc. asset manager | Alliancebernstein L.P. other | Other | Jan 10, 2020 | Jan 31, 2020 |
| Raymond Junior Janvier | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Alliancebernstein L.P. asset manager | Other | Dec 17, 2019 | Oct 28, 2025 (2142 d) |
| John Joseph Burke | Nuveen Asset Management, LLC mixed wealth | Alliancebernstein L.P. other | Other | Nov 11, 2019 | Nov 20, 2019 |
| Patrick Anthony Bonanno | Advisors Asset Management, Inc. mixed wealth | Alliancebernstein L.P. other | Other | Sep 17, 2019 | Nov 14, 2019 (58 d) |
| Cale Heath Huisinga | UBS Financial Services Inc. wirehouse | Alliancebernstein L.P. other | Other | Sep 9, 2019 | Jul 2, 2021 (662 d) |
| Cory Steven Elmore | John Hancock Investment Management LLC asset manager | Alliancebernstein L.P. other | Other | Sep 6, 2019 | Dec 9, 2019 (94 d) |
| Kevin Kloski | New York Life Investment Management LLC asset manager | Alliancebernstein L.P. other | Other | Jul 10, 2019 | Aug 16, 2019 (37 d) |
| William David Alford | Usaa Investment Services Company BD affiliated | Alliancebernstein L.P. other | Other | Jul 8, 2019 | Mar 2, 2020 (238 d) |
| Logan A Marshall | Raymond James Financial Services Advisors, Inc BD affiliated | Alliancebernstein L.P. other | Other | May 21, 2019 | May 30, 2019 |
| Zachary Lincoln Gardner | Salient Capital Advisors, LLC other | Alliancebernstein L.P. other | Other | May 1, 2019 | May 30, 2019 |
| Nadav Hillel Schwartz | UBS Financial Services Inc. wirehouse | Alliancebernstein L.P. other | Other | Apr 9, 2019 | Oct 22, 2019 (196 d) |
| James Michael Young | Invesco Advisers, Inc. asset manager | Alliancebernstein L.P. other | Other | Apr 9, 2019 | May 21, 2019 (42 d) |
| Max Kohn Brown | Pinnacle Family Advisors, LLC mixed wealth | Alliancebernstein L.P. other | Other | Mar 13, 2019 | Apr 9, 2019 |
| Winston Frederick Justice | Syndicated Capital, Inc. independent RIA | Alliancebernstein L.P. other | Other | Feb 5, 2019 | May 21, 2019 (105 d) |
| Joshua Ford Murray | Goldman Sachs Wealth Services, L.P. BD affiliated | Alliancebernstein L.P. other | Other | Jan 28, 2019 | Mar 11, 2019 (42 d) |
| James M Conway | Edward Jones national BD | Alliancebernstein L.P. asset manager | Other | Jan 10, 2019 | Jan 31, 2023 (1482 d) |
| Aaron Michael Robinson | Morgan Stanley wirehouse | Alliancebernstein L.P. other | Other | Jan 10, 2019 | Jan 18, 2019 |
| Lauren Ann Ricca | Advice And Planning Services BD affiliated | Alliancebernstein L.P. other | Other | Dec 27, 2018 | Apr 22, 2019 (116 d) |
| Cara Brooke Vitale | UBS Financial Services Inc. wirehouse | Alliancebernstein L.P. asset manager | Other | Nov 26, 2018 | Feb 28, 2023 (1555 d) |