Richard Gordon Felling

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-01-21
CA	RA	APPROVED	2001-06-12

TX RA
APPROVED_RES

Since 2021-01-21
CA RA
APPROVED

Since 2001-06-12

Branch Locations

Brea, CA • 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

Organization	City	State	From	To
Self Employed	Buena Park	CA	08/1991	Present
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

08/1991 → Present

Self Employed

Buena Park, CA
09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

1. RICK FELLING, CPA. TAX AND ACCOUNTING SERVICES. 2. RENTAL REAL ESTATE PROPERTY OWNER. 3. LIMITED POA FOR SPOUSE'S ACCOUNTS. 4. CO-TRUSTEE OF PERSONAL FAMILY TRUST. 5. SUCCESSOR TRUSTEE OF IMMEDIATE FAMILY MEMBER'S TRUST

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-08-02
S63	Uniform Securities Agent State Law Examination	1993-08-02

S65 Uniform Investment Adviser Law Examination

2000-08-02
S63 Uniform Securities Agent State Law Examination

1993-08-02

Other Names

Rick Felling

View on SEC IAPD