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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-10-10
CT RA APPROVED 2014-11-06
  • TX RA
    APPROVED_RES
    Since 2024-10-10
  • CT RA
    APPROVED
    Since 2014-11-06

Branch Locations

1266 East Main Street 6Th Floor, Stamford, CT 06902 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 06/2012 06/2020
Equitable Advisors, Llc New York NY 06/2012 Present
Other Businesses

01/01/2001, Officer, President, Music Services, Moses McClean Productions, LLC, 256 Washington Blvd #14, Stamford, CT 06902, 0 hrs/month, $3000 comp, bank account name: Moses McClean Productions LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-30
S63 Uniform Securities Agent State Law Examination 2011-05-26
  • S65 Uniform Investment Adviser Law Examination
    2014-10-30
  • S63 Uniform Securities Agent State Law Examination
    2011-05-26
Other Names
  • Mcclean Vince Lloyd

View on SEC IAPD

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