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Douglas Lloyd Roselieb

Equitable Advisors, LLC

Sarasota, FL

Oak Brook, IL

CRD 1818572

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Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-06-18
FL RA APPROVED 2010-09-01
IL RA APPROVED 2000-01-06
  • TX RA
    APPROVED_RES
    Since 2025-06-18
  • FL RA
    APPROVED
    Since 2010-09-01
  • IL RA
    APPROVED
    Since 2000-01-06

Branch Locations

Sarasota, FL • United States

1515 W. 22Nd Street Suite 400, Oak Brook, IL 60523 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 09/1999 06/2020
Equitable Advisors, Llc New York NY 09/1999 Present
Other Businesses

DBA, WELLS, ROSELIEB & RAIA WEALTH MANAGEMENT. RED DOOR PROGRAM, BOARD MEMBER, TO PROVIDE FUNDING FOR METHODIST CHURCHES IN NORTHERN ILLINOIS, QUARTERLY MEETINGS TO REVIEW FINANCIALS, START 02.2018, 2 HRS PER MO. WATTS OF LOVE, BOARD MEMBER - TREASURER, REVIEW GOALS AND OBJECTIVES OF THE LONG RANGE MISSIONS AND VISONS OF THE ORGANIZATION, PROVIDESSOLAR LIGHTING TO FAMILIES, START 02.2019, 10 HRS PER MO. WELLS, ROSELIEB & RAIA WEALTH MANAGEMENT, LLC, MEMBER, OPERATIONAL EXPENSES AND PAYROLL, START DATE 01.2019, 4 HOURS PER MONTH, NO COMP. OUTSIDE INSURANCE BROKERAGE. ROSE6 LLC, OWNER, FLORIDA CONDO RENTAL, 9/2023, 10 HOURS PER MONTH, 60,000 COMP PER YR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-27
S63 Uniform Securities Agent State Law Examination 1991-07-22
  • S65 Uniform Investment Adviser Law Examination
    1999-04-27
  • S63 Uniform Securities Agent State Law Examination
    1991-07-22
Other Names
  • Douglas L Roselieb

View on SEC IAPD

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