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James Thomas Moster

Equitable Advisors, LLC

Oak Brook, IL

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-17
IL RA APPROVED 2008-01-25
  • TX RA
    APPROVED_RES
    Since 2022-10-17
  • IL RA
    APPROVED
    Since 2008-01-25

Branch Locations

1515 W. 22Nd Street Suite 400, Oak Brook, IL 60523 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • 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

JAMES T. MOSTER, JD - LAW FIRM; ATTORNEY; ATTORNEY REFERRALS START 06/1975, 3 HRS PER MO, 1000 COMP PER YR. OUTSIDE INSURANCE BROKERAGE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-21
S63 Uniform Securities Agent State Law Examination 1993-06-14
  • S65 Uniform Investment Adviser Law Examination
    1999-04-21
  • S63 Uniform Securities Agent State Law Examination
    1993-06-14

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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