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Jose L. Rodriguez-Rivera

Equitable Advisors, LLC

Guayama, PR

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2011-01-27
  • PR RA
    APPROVED
    Since 2011-01-27

Branch Locations

Calle Mcarthur #5, Guayama, PR 00784 • 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
Axa Advisors, Llc New York NY 09/1999 06/2020
Equitable Advisors, Llc New York NY 09/1999 Present
Other Businesses

OUTSIDE INSURANCE BROKERAGE CONTRACTS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-11-28
S65 Uniform Investment Adviser Law Examination 1999-07-08
  • S63 Uniform Securities Agent State Law Examination
    2000-11-28
  • S65 Uniform Investment Adviser Law Examination
    1999-07-08
Other Names
  • Jose Luis Rodriquez
  • Jose L Rodriguezrivera
  • Jose Luis Rodriguez

View on SEC IAPD

Other Firms

SWAN GLOBAL MANAGEMENT
FIDERAS LLC
ATLANTICMIDWEST INVESTMENT RESEARCH, LLC

Other Investors

Edgardo Alexis Chamorro

Other Offices

SWAN GLOBAL MANAGEMENT · HUMACAO, PR
FIDERAS LLC · HUMACAO, PR
ATLANTICMIDWEST INVESTMENT RESEARCH, LLC · HUMACAO, PR

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