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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-09-30 |
| IL | RA | APPROVED | 2000-01-14 |
Branch Locations
1515 W. 22Nd Street Suite 400, Oak Brook, IL 60523 • United States
Elburn, IL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/1999 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 09/1999 | Present |
DBA, WELLS, ROSELIEB AND RAIA WEALTH MANAGEMENT, LLC, MEMBER, OPERATIONAL EXPENSES AND STAFF PAYROLL, START 01.2019, 4 HRS PER MO. INSTITUTE FOR COMMUNITY AT HIGHPOINT, BOARD MEMBER, FINANCE COMMITTEE, CONSULT ON THE FINANCIAL HEALTH OF ORGANIZATION INCLUDING INVESTMENT POLICY STATEMENTS AND FUNDRAISING PROCEDURES, START 08.2019, 5 HRS PER MO. OUTSIDE INSURANCE BROKERAGE. SUCCESSOR TRUSTEE FOR WIFE, 8/2023.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-13 |
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