Charles Lee Williams

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

Authority	Category	Status	Date
IN	RA	APPROVED	2004-04-06

IN RA
APPROVED

Since 2004-04-06

Branch Locations

Indianapolis, IN • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	03/2004	06/2020
Equitable Advisors, Llc	New York	NY	03/2004	Present

03/2004 → 06/2020

Axa Advisors, Llc

New York, NY
03/2004 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2002-11-01 → 2003-07-23

Mml Investors Services, Llc

Indianapolis, IN

Other Businesses

1. The Antelope Club, Membership Committee Chair, Indianapolis, Indiana, Since 12/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-14
S63	Uniform Securities Agent State Law Examination	1991-07-09

S66 Uniform Combined State Law Examination

2002-08-14
S63 Uniform Securities Agent State Law Examination

1991-07-09

Other Names

Lee Williams
C Lee Williams
Charles L William

View on SEC IAPD