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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-04-02
  • OH RA
    APPROVED
    Since 2024-04-02

Branch Locations

Cincinnati, OH • 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
OrganizationCityStateFromTo
Infinex Investments, Inc. Meriden CT 04/2014 02/2021
Osaic Institutions, Inc. Cincinnati OH 02/2021 04/2024
Equitable Advisors, Llc New York NY 04/2024 Present
Previous Registrations
  • 2014-04-21 → 2024-04-02
    Coldwater, MI
    Athens, OH
    Cincinnati, OH
    Cincinnati, OH
  • 2011-12-05 → 2014-04-21
    Signator Investors, Inc.
    Columbus, OH
  • 2011-05-19 → 2011-11-30
    Cincinnati, OH
  • 2008-08-21 → 2011-05-19
    Sunset Financial Services, Inc.
    Cincinnati, OH
    Kansas City, MO
    Mason, OH
  • 2005-08-24 → 2008-07-15
    Essex National Securities, Llc
    Mason, OH
    Napa, CA
    Cincinnati, OH
    Mason, OH
    Grove City, OH
    Chillicothe, OH
    Chillicothe, OH
    Gallipolis, OH
    Ironton, OH
    Wheelersburg, OH
  • 2005-02-07 → 2005-09-01
    Cetera Investment Services Llc
    Mason, OH
  • 2002-09-27 → 2005-01-10
    Raymond James Financial Services, Inc.
    Marietta, OH
Other Businesses

Various outside insurance appointments

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-28
  • S66 Uniform Combined State Law Examination
    2000-11-28
Designations
Other Names
  • Mike Comperchio

View on SEC IAPD

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