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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 1995-06-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 01/2000 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 01/2000 | Present |
11/14 - COMMUNITY PARKS IMPROVEMENT COMMITTEE OF PORTAGE - COMMITTEE MEMBER - 5 HRS/MONTH; 9/14 - ROMAN & ROMAN REAL ESTATE, LLC - OWNER - 10 HRS/MONTH; DBA - ROMAN, ROMAN AND LLC; 1/95 - NOTARY PUBLIC- 1 HR/MTH. 3/24 - Stevens Point Area Senior High School 1201 N Point Dr Stevens Point, WI 54481 -Head pitching coach - 100 hrs mth; Administrator or executor of an estate or trustee of a trust for a non-family or family member
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-03 |
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