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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-09-15
  • CA RA
    APPROVED
    Since 2016-09-15

Branch Locations

275 Battery Street Suite 700, San Francisco, CA 94111 • United States

San Francisco, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa-Advisors, Llc New York NY 05/2016 06/2020
Equitable Advisors, Llc New York NY 05/2016 Present
Previous Registrations
  • 2015-01-14 → 2015-12-31
    Beck Investment Partners, Llc
    San Francisco, CA
  • 2013-04-22 → 2014-12-31
    Beck Investment Partners, Llc
    San Francisco, CA
Other Businesses

1.ProVisors, not investment-related business, 15165 Ventura Blvd, Suite 425 Sherman Oaks, CA 91403, Member, Start Date 06-05-2019, 2. Executor of deceased fathers estate, not an Equitable client. 3. Co-author, 14 Warren Drive, Apt. 3, San Francisco, CA 94131. There is no business as I receive no royalties from the book that was written jointly with Cicely Jones and myself Start Date: 01/03/2022 4. Trustee for my mother's trust. Financial power of attorney for mother. 5. Taking Standup Comedy Classes, San Francisco Comedy College, 868 Kearny St. San Francisco, CA, Start Date: 07/01/2015

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-21
S65 Uniform Investment Adviser Law Examination 2013-04-17
  • S66 Uniform Combined State Law Examination
    2016-06-21
  • S65 Uniform Investment Adviser Law Examination
    2013-04-17

View on SEC IAPD

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