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Frank James Ward

Equitable Advisors, LLC

Thornwood, NY

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-05-22
  • NY RA
    APPROVED
    Since 2023-05-22

Branch Locations

Thornwood, NY • 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
Transamerica Financial Advisors, Inc White Plains NY 01/2016 09/2017
World Financial Group, Inc. White Plains NY 06/2014 09/2017
Axa Advisors, Llc New York NY 09/2017 06/2020
Equitable Advisors, Llc New York NY 09/2017 Present
  • 01/2016 → 09/2017
    Transamerica Financial Advisors, Inc
    White Plains, NY
  • 06/2014 → 09/2017
    World Financial Group, Inc.
    White Plains, NY
  • 09/2017 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 09/2017 → Present
    Equitable Advisors, Llc
    New York, NY
Other Businesses

Insurance Agent - Multiple Carriers

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-20
S63 Uniform Securities Agent State Law Examination 2016-05-10
  • S65 Uniform Investment Adviser Law Examination
    2023-05-20
  • S63 Uniform Securities Agent State Law Examination
    2016-05-10
Other Names
  • Frank James Ward
  • Frank James Ward

View on SEC IAPD

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