Katherine L Carlson

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 04/2018
  Baystate Financial/Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 11/2005 → 03/2017
  Msi Financial Services Inc.
  New York, NY
• 03/2017 → 04/2018
  Mml Investors Services, Llc
  Dover, NH
• 04/2018 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 04/2018 → Present
  Equitable Advisors, Llc
  New York, NY

Previous Registrations

• 2017-03-25 → 2018-04-16
  Mml Investors Services, Llc
  Northwood, NH
  Dover, NH
  Bedford, NH
• 2005-11-30 → 2017-03-25
  Msi Financial Services, Inc.
  Southborough, MA
  Northwood, NH
  Westboro, MA
  Springfield, MA
  Springfield, MA
  Westboro, MA
  Manchester, NH
  Dover, NH
• 1997-11-13 → 2006-01-06
  Metlife Investment Fund Services Llc
  Woodbridge, NJ

Other Businesses

1.Northwood Historical Society, 12 School Street, Northwood, NH 03261, President, run monthly board meetings, help pick topics for 4 programs a year, April 16, 2018, approximately 1 hour per month.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-21
• S63 Uniform Securities Agent State Law Examination
  1997-10-23