James C. Farally

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2009-01-21

MD RA
APPROVED

Since 2009-01-21

Branch Locations

6200 Old Dobbin Lane Suite 100, Columbia, MD 21045 • 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

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/2001	06/2020
Equitable Advisors, Llc	New York	NY	09/2001	Present

09/2001 → 06/2020

Axa Advisors, Llc

New York, NY
09/2001 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

Using James.Farally@tfgrouppwm.com to conduct Equitable business.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-07-06
S63	Uniform Securities Agent State Law Examination	2001-10-09

S65 Uniform Investment Adviser Law Examination

2007-07-06
S63 Uniform Securities Agent State Law Examination

2001-10-09

Other Names

James C. Farally

View on SEC IAPD

Current Employers

Equitable Advisors, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

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