James Joseph Phelan

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2005-06-01

IL RA
APPROVED

Since 2005-06-01

Branch Locations

St Charles, IL • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	06/2005	06/2020
Equitable Advisors, Llc	New York	NY	06/2005	Present

06/2005 → 06/2020

Axa Advisors, Llc

New York, NY
06/2005 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2005-02-16 → 2005-06-01

Mony Securities Corporation

Oakbrook, IL

Other Businesses

OUTSIDE INSURANCE BROKERAGE. JAMES J. PHELAN; HEALTH INSURANCE SALESMAN; SALES OF HEALTH AND DISABILITY INSURANCE; START 01/1992; 10HRS/MO. CO-TRUSTEE, MOTHER'S TRUST, START 08.2024.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-11-12
S63	Uniform Securities Agent State Law Examination	1992-08-04

S65 Uniform Investment Adviser Law Examination

2004-11-12
S63 Uniform Securities Agent State Law Examination

1992-08-04

Other Names

Jim Phelan

View on SEC IAPD