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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 | 2019-09-03 |
| SC | RA | APPROVED | 2009-11-16 |
Branch Locations
750 Executive Center Drive Suite 100, Greenville, SC 29615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 10/2009 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 10/2009 | Present |
DBA Oak Capital Management, LLC, GCJ Whaling, LLC 10 Whaling Way, Greenville SC 29615, owner of GCJ Whaling, LLC,Individually owned, LLC, utilize the LLC primarily for paying employees and spending on marketing campaigns. 4/15/2024, 5HRS/MO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-31 |
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