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Charles J Shaw

Equitable Advisors, LLC

Auburn, NY

Auburn, NY

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-18
TX RA APPROVED_RES 2017-01-27
  • NY RA
    APPROVED
    Since 2021-05-18
  • TX RA
    APPROVED_RES
    Since 2017-01-27

Branch Locations

Auburn, NY • United States

12 E. Genesee St. Suite 102, Auburn, NY 13021 • 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 05/2012 06/2020
Equitable Advisors, Llc New York NY 05/2012 Present
Other Businesses

Knights of Columbus Home Corp, Auburn, NY, Treasurer, 4/30/19, 2 hours month, $0 comp,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-08
S63 Uniform Securities Agent State Law Examination 2012-05-16
  • S65 Uniform Investment Adviser Law Examination
    2014-09-08
  • S63 Uniform Securities Agent State Law Examination
    2012-05-16

View on SEC IAPD

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