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93 Worcester Street Suite 101, Wellesley, MA 02481 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-11-09 |
| MA | RA | APPROVED | 2019-07-02 |
Branch Locations
93 Worcester Street Suite 101, Wellesley, MA 02481 • United States
Marlboro, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | Wellesley | MA | 12/2014 | 04/2019 |
| Peak Financial Management, Inc. | Wellesley | MA | 04/2019 | Present |
(1.) NAME OF OBA: EQUITABLE ADVISORS; ADDRESS OF OBA: WELLESLEY, MA 02481; NATURE: I OCCASIONALLY PROVIDE A NOTARY SEAL FOR CLIENTS. AN ESTIMATE OF 6-8 TIMES PER YEAR; INVESTMENT RELATED: NO; TITLE WITH OBA: NOTARY PUBLIC; DUTIES: I OCCASIONALLY PROVIDE A NOTARY SEAL FOR CLIENTS. AN ESTIMATE OF 6-8 TIMES PER YEAR; START DATE: 2014; APPROX. NUMBER OF HOURS/MONTH: 0-1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 2 MINUTES/MONTH; (2.) NAME OF OBA: EQUITABLE ADVISORS; ADDRESS OF OBA: WELLESLEY, MA 02481; NATURE: I COLLECT RESIDUAL INCOME FROM BUSINESS WRITTEN FROM 2011-2019; INVESTMENT RELATED: NO; TITLE WITH OBA: INSURANCE AGENT; DUTIES: I COLLECT RESIDUAL INCOME FROM BUSINESS WRITTEN FROM 2011-2019; START DATE: 2019; APPROX. NUMBER OF HOURS/MONTH: 0; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-03 |
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