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James Jerome Szczepaniak

Equitable Advisors, LLC

Auburn, PA

Bethlehem, PA

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2002-07-29
  • PA RA
    APPROVED
    Since 2002-07-29

Branch Locations

Auburn, PA • United States

81 Highland Ave Suite 200, Bethlehem, PA 18017 • 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
Axa Advisors, Llc New York NY 12/2001 06/2020
Equitable Advisors, Llc New York NY 12/2001 Present
Other Businesses

DBA The Rockland Group -Wealth Management, LLC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-26
S63 Uniform Securities Agent State Law Examination 1997-05-28
  • S66 Uniform Combined State Law Examination
    2002-07-26
  • S63 Uniform Securities Agent State Law Examination
    1997-05-28
Other Names
  • Jake Szczepaniak
  • Jim Szczepaniak

View on SEC IAPD

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