Richard Adam Nicholas

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:

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-20
NY	RA	APPROVED	2021-04-12

TX RA
APPROVED_RES

Since 2023-03-20
NY RA
APPROVED

Since 2021-04-12

Branch Locations

395 North Service Road Suite 206, Melville, NY 11747 • 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	New York	NY	09/2007	06/2020
Equitable Advisors, Llc	New York	NY	09/2007	Present

09/2007 → 06/2020

Axa Advisors

New York, NY
09/2007 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

National Life Group; AGENT OF A CORPORATION-M&R REAL ESTATE GROUP DBA:Equinox Financial Partners; Ashar Group; 24 HPA LLC 6 Westbourne Lane, Melville NY 11747 Role: Member of a LLC; Co-Trustee with mother of Trusts belonging to siblings.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-02-25

S66 Uniform Combined State Law Examination

2008-02-25

Other Names

Richard Nicholas

View on SEC IAPD