Kristen Yvonne Smith

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2019-09-09

NC RA
APPROVED

Since 2019-09-09

Branch Locations

Concord, NC • United States

7207 Ibm Drive 2Nd Fl, Charlotte, NC 28262 • 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

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	12/2008	06/2020
Axa Distributors, Llc	Charlotte	NC	09/2019	Present
Equitable Advisors, Llc	New York	NY	12/2008	Present

12/2008 → 06/2020

Axa Advisors, Llc

New York, NY
09/2019 → Present

Axa Distributors, Llc

Charlotte, NC
12/2008 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2006-02-02 → 2008-12-15

Cetera Wealth Services, Llc

Sewickley, PA

Other Businesses

(1) Liv's Beauty Secrets - Posistion: Guardian, DBA created for young daughter who wants to sell beauty products, lip gloss, etc. Start date 01/01/2021, 30 hrs/month

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-11-15

S66 Uniform Combined State Law Examination

2003-11-15

View on SEC IAPD