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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
MO RA APPROVED 2010-09-07
KS RA APPROVED 2000-04-25
  • MO RA
    APPROVED
    Since 2010-09-07
  • KS RA
    APPROVED
    Since 2000-04-25

Branch Locations

7400 W 110Th Street Suite 700, Overland Park, KS 66210 • United States

717 East South Street, Richmond, MO 64085 • 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
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 09/1999 06/2020
Equitable Advisors, Llc New York NY 09/1999 Present
Other Businesses

1. RUST TRUST; TRUSTEE / FARM OWNER & OPERATOR; START 7/8/1996; APPROX 10 HOURS/MONTH. 2. TRUSTEE FOR FAMILY MEMBER'S TRUST. 3. MISSOURI FARM & HOME MUTUAL INSURANCE COMPANY; 400 NORTH SPARTAN DR, RICHMOND, MO 64085; BOARD MEMBER; START 2/11/2020; APPROX 1.5 HOURS/MONTH. 4. BEACON MENTAL HEALTH SERVICES; 3100 NE 83RD ST, #1001, KANSAS CITY, MO 64119; BOARD OF DIRECTORS; START 2/1/2021; APPROX 2 HOURS/MONTH. 5. LAVELOCK CEMETARY ASSOCIATION; ROUTE_A, HARDIN, MO 64035; PRESIDENT, BOARD OF DIRECTORS; START 2/1/2021; APPROX 1 HOUR/MONTH. 6. REFLECTION FINANCIAL STRATEGIES LLC; 7171 W 95TH ST, STE 200, OVERLAND PARK, KS 66212; OWNER/MANAGING PARTNER; START 1/1/2016; APPROX 5 HOURS/MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-07
S63 Uniform Securities Agent State Law Examination 1990-07-02
  • S65 Uniform Investment Adviser Law Examination
    1999-07-07
  • S63 Uniform Securities Agent State Law Examination
    1990-07-02

View on SEC IAPD

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