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Raymond Chen

Equitable Advisors, LLC

New York, NY

CRD 7147992

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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
NY RA APPROVED 2021-04-12
TX RA APPROVED 2021-01-13
  • NY RA
    APPROVED
    Since 2021-04-12
  • TX RA
    APPROVED
    Since 2021-01-13

Branch Locations

1290 Avenue Of The Americas 4Th Fl, New York, NY 10104 • 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
Unemployed Dallas TX 06/2019 07/2019
University Of Pennsylvania Philadelphia PA 09/2018 05/2019
Pnc Pittsburgh PA 06/2018 08/2018
University Of Pennsylvania Philadelphia PA 09/2017 05/2018
Weiss Tech House Philadelphia PA 06/2017 08/2017
University Of Pennsylvania Philadelphia PA 09/2015 05/2017
Axa Advisors Llc New York NY 07/2019 06/2020
Equitable Advisors, Llc New York NY 07/2019 Present
Capital Management Group Of New York Pearl River NY 07/2022 11/2023
  • 06/2019 → 07/2019
    Unemployed
    Dallas, TX
  • 09/2018 → 05/2019
    University Of Pennsylvania
    Philadelphia, PA
  • 06/2018 → 08/2018
    Pnc
    Pittsburgh, PA
  • 09/2017 → 05/2018
    University Of Pennsylvania
    Philadelphia, PA
  • 06/2017 → 08/2017
    Weiss Tech House
    Philadelphia, PA
  • 09/2015 → 05/2017
    University Of Pennsylvania
    Philadelphia, PA
  • 07/2019 → 06/2020
    Axa Advisors Llc
    New York, NY
  • 07/2019 → Present
    New York, NY
  • 07/2022 → 11/2023
    Capital Management Group Of New York
    Pearl River, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-21
  • S66 Uniform Combined State Law Examination
    2019-06-21

View on SEC IAPD

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