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James Henry Healy

Equitable Advisors, LLC

Cincinnati, OH

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-07
OH RA APPROVED 2016-10-26
  • TX RA
    APPROVED_RES
    Since 2022-11-07
  • OH RA
    APPROVED
    Since 2016-10-26

Branch Locations

Cincinnati, OH • 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 05/2016 06/2020
Equitable Advisors, Llc New York NY 05/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-11
S63 Uniform Securities Agent State Law Examination 2016-07-19
  • S65 Uniform Investment Adviser Law Examination
    2016-10-11
  • S63 Uniform Securities Agent State Law Examination
    2016-07-19
Other Names
  • Jim Henry Healy
  • James H Healy

View on SEC IAPD

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