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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2016-03-10 |
Branch Locations
201 W Big Beaver Road Suite 300, Troy, MI 48084 • United States
Lake Orion, MI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa | Troy | MI | 03/2016 | 06/2020 |
| Axa Advisors Llc | New York | NY | 03/2016 | 06/2020 |
| Equitable | Troy | MI | 03/2016 | Present |
| Equitable Advisors, Llc | New York | NY | 03/2016 | Present |
Independent Contractor. Arbitrator for FINRA, non-investment related since 1992. Hear Arbitration cases and use testimony and evidence to decide the outcome as a panel. Approx. 24 hrs./yr. $200/Month compensation. If requested during business hours, I use personal time.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-18 |
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