Shan C Diao

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2011-01-06

CT RA
APPROVED

Since 2011-01-06

Branch Locations

Shelton, CT • United States

612 Wheelers Farms Road 2Nd Floor, Milford, CT 06461 • 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	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

NAME OF ENTITY: OVERTON DEVELOPMENT CORPORATION POSITION: BOARD MEMBER/OFFICER/DIRECTOR DESCRIPTION OF ROLES/RESPONSABILITIES: CREATED TO OWN 10 ACRES OF LAND AND NO OTHER ROLE INVOLVED AND NO ACTIVITY # OF HOURS PER MONTH: 0 AVERAGE MONTHLY COMPENSATION: $0 NON-INVESTMENT RELATED

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-29
S63	Uniform Securities Agent State Law Examination	1997-05-23

S65 Uniform Investment Adviser Law Examination

1999-06-29
S63 Uniform Securities Agent State Law Examination

1997-05-23

Other Names

Shan Diao

View on SEC IAPD