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Robert M Gaines

Equitable Advisors, LLC

Richboro, PA

Conshohocken, PA

Doylestown, PA

Allentown, PA

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2016-07-22
  • PA RA
    APPROVED
    Since 2016-07-22

Branch Locations

Richboro, PA • United States

15 E Ridge Pike, Conshohocken, PA 19428 • United States

288 South Main Street, Doylestown, PA 18901 • United States

1403 N Cedar Crest Boulevard, Allentown, PA 18104 • 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 07/2016 06/2020
Equitable Advisors, Llc New York NY 07/2016 Present
Previous Registrations
  • 2016-07-06 → 2016-07-25
    Msi Financial Services, Inc.
    Philadelphia, PA
  • 2016-01-11 → 2016-07-01
    Msi Financial Services, Inc.
    Philadelphia, PA
  • 2015-02-24 → 2016-01-25
    Mutual Of Omaha Investor Services, Inc.
    Blue Bell, PA
    Marlton, NJ
Other Businesses

1. Firstrust Financial Resources (DBA) 2. umpire Suburban Travel Baseball League 3272 Sarmiento Drive Bensalem, PA 19020

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-20
S63 Uniform Securities Agent State Law Examination 2008-08-01
  • S65 Uniform Investment Adviser Law Examination
    2015-02-20
  • S63 Uniform Securities Agent State Law Examination
    2008-08-01
Other Names
  • Robert Michael Gaines

View on SEC IAPD

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