Stephen Jay Hardisty

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2007-06-06

CA RA
APPROVED

Since 2007-06-06

Branch Locations

81 Blue Ravine Road Suite 100, Folsom, CA 95630 • United States

2175 N. California Blvd. Suite 405, Walnut Creek, CA 94596 • United States

El Dorado Hills, CA • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	06/2007	06/2020
Equitable Advisors, Llc	New York	NY	06/2007	Present

06/2007 → 06/2020

Axa Advisors, Llc

New York, NY
06/2007 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2006-03-08 → 2007-06-06

1717 Capital Management Company

Walnut Creek, CA

Walnut Creek, CA
2001-09-17 → 2006-03-13

Msi Financial Services, Inc.

Pleasanton, CA

Other Businesses

1) DBA - HARTISTY FINANCIAL AND INSURANCE SERVICES, 193 Blue Ravine Road, Suite 110 Folsom, CA 95630 DISABILITY & HEALTH Insurance.2) VARIOUS OUTSIDE INSURANCE COMPANIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-22
S63	Uniform Securities Agent State Law Examination	1990-12-13

S65 Uniform Investment Adviser Law Examination

1999-02-22
S63 Uniform Securities Agent State Law Examination

1990-12-13

Other Names

Steve Hardisty

View on SEC IAPD