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Michael Russell Warren

Equitable Advisors, LLC

Davidson, NC

Charlotte, NC

CRD 6216884

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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:

Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-08-16
  • NC RA
    APPROVED
    Since 2017-08-16

Branch Locations

Davidson, NC • United States

7207 Ibm Drive 2Nd Fl, Charlotte, NC 28262 • 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
Mml Investors Services, Llc Walnut Creek CA 03/2017 08/2017
Mass Mutual Life Ins. Company Walnut Creek CA 07/2016 08/2017
Msi Financial Services Inc. Walnut Creek CA 05/2016 03/2017
Axa Equitable Charlotte NC 08/2017 06/2020
Axa Advisors, Llc New York NY 08/2017 06/2020
Equitable Advisors, Llc New York NY 08/2017 Present
Equitable Advisors, Llc New York NY 08/2017 Present
  • 03/2017 → 08/2017
    Mml Investors Services, Llc
    Walnut Creek, CA
  • 07/2016 → 08/2017
    Mass Mutual Life Ins. Company
    Walnut Creek, CA
  • 05/2016 → 03/2017
    Msi Financial Services Inc.
    Walnut Creek, CA
  • 08/2017 → 06/2020
    Axa Equitable
    Charlotte, NC
  • 08/2017 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 08/2017 → Present
    Equitable Advisors, Llc
    New York, NY
  • 08/2017 → Present
    Equitable Advisors, Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-11
  • S66 Uniform Combined State Law Examination
    2017-07-11
Other Names
  • Mike Russell Warren

View on SEC IAPD

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