Scott Michael Klein

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2008 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 01/2008 → Present
  Equitable Advisors, Llc
  New York, NY

Previous Registrations

• 2001-12-21 → 2007-12-31
  Commonwealth Financial Network
  Walnut Creek, CA

Other Businesses

LTCcompass National Offices 7000 Central Parkway, Suite 700 Atlanta, Ga 30328, General Agency for LTC Incurance, 10/2008, approx 1 hr mo., $800 annual comp. Sabbe & Assoc general agency for P&C Insurance, Sabbe & Associates, Inc. 2200 East Bidwell Street Folsom, CA 95630, 1/2018, approx 1 hr mo., $2,500 annual comp. California Choice- Health Insurance Brokerage, 8/2018, approx 1 hr mo., $10K annual comp. DBA email scott@guardrailfinancial.com, emerald website: www.guardrailfinancial.com

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1995-03-08