Tracey Lee Hay

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
TX	RA	APPROVED_RES	2016-09-22
TN	RA	APPROVED	2004-03-15

TX RA
APPROVED_RES

Since 2016-09-22
TN RA
APPROVED

Since 2004-03-15

Branch Locations

1020 N Castle Heights Ave Suite C, Lebanon, TN 37087 • 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
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

N CASTLE HEIGHTS PROPERTIES, LLC 6/2002; OWN AND LEASE COMMERCIAL PROPERTY 33 PERCENT OWNER/PARTNER 2 HR PER MONTH, 0 COMP VARIOUS OUTSIDE BROKERAGE BUSINESS DBA: WAYPOINT FINANCIAL, LLC POA FOR WIFE AND MOTHER

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-01
S63	Uniform Securities Agent State Law Examination	1993-09-17

S65 Uniform Investment Adviser Law Examination

1999-09-01
S63 Uniform Securities Agent State Law Examination

1993-09-17

View on SEC IAPD