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Rory Alberic Cardinal

Equitable Advisors, LLC

Ham Lake, MN

Little Canada, MN

CRD 5441154

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-07-23
MN RA APPROVED 2013-11-07
  • TX RA
    APPROVED_RES
    Since 2015-07-23
  • MN RA
    APPROVED
    Since 2013-11-07

Branch Locations

Ham Lake, MN • United States

2864 Middle Street Suite 200, Little Canada, MN 55117 • 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 12/2009 06/2020
Equitable Advisors, Llc New York NY 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-01-25
S63 Uniform Securities Agent State Law Examination 2010-10-05
  • S65 Uniform Investment Adviser Law Examination
    2011-01-25
  • S63 Uniform Securities Agent State Law Examination
    2010-10-05
Other Names
  • Rory Cardinal

View on SEC IAPD

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