Carol Rodgers-Rivir

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

• 11/2012 → 06/2020
  Axa Advisors, Llc
  New York City, NY
• 11/2012 → Present
  Equitable Advisors, Llc
  New York, NY

Previous Registrations

• 2005-12-09 → 2012-11-08
  Valic Financial Advisors, Inc.
  Columbus, OH
  Columbus, OH
• 2005-07-06 → 2005-08-08
  Chase Investment Services Corp.
  Chicago, IL
• 2003-08-18 → 2005-07-06
  Banc One Securities Corporation
  Milford, OH
• 2000-11-01 → 2003-07-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Cincinnati, OH

Other Businesses

1) Member of LLC, TUSCANY HILLS, LLC, Covington, KY 41014, since 1/2007, 15 hr month 2) Employee - non investement related, HUFF REALTY, Florence, KY 41042, since 5/2008, 8 hr monthly

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-13
• S63 Uniform Securities Agent State Law Examination
  1997-07-09

Other Names

• Carol Marie Rodgers
• Carol N/A Rodgers-Rivir