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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2000-03-20
  • CA RA
    APPROVED
    Since 2000-03-20

Branch Locations

5700 Wilshire Blvd Suite 120A, Los Angeles, CA 90036 • United States

Torrance, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 09/1999 06/2020
Equitable Advisors, Llc New York NY 09/1999 Present
Other Businesses

1. Campaign Committee Member, Volunteer. Located at: St. Matthew Antiochian Orthodox Church Fr. John Mahfouz 2368 Sonoma Street Torrance, CA 90501. Start date: 6/16/2021 approximately 10 hours per month. Non-investment related. 2. Trustee of Personal Family Trust

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-28
S63 Uniform Securities Agent State Law Examination 1995-09-07
  • S65 Uniform Investment Adviser Law Examination
    1999-09-28
  • S63 Uniform Securities Agent State Law Examination
    1995-09-07
Other Names
  • Chip Charles Goodrich
  • Herbert C Goodrich

View on SEC IAPD

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