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Charles Howard Rose

Equitable Advisors, LLC

Bala Cynwyd, PA

Boyton Beach, FL

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2012-01-06
PA RA APPROVED 2002-08-20
  • FL RA
    APPROVED
    Since 2012-01-06
  • PA RA
    APPROVED
    Since 2002-08-20

Branch Locations

1 Belmont Avenue Ste. 1100, Bala Cynwyd, PA 19004 • United States

Boyton Beach, FL • 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

1) ARDEN THEATRE CO., BOARD MEMBER, SINCE 1/2004, 2 HRS./MONTH. 2) DBA: KARR BARTH ASSOCIATES | Surgeons Capital Management .

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1983-11-18
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1983-11-18

View on SEC IAPD

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Other Offices

AWH FINANCIAL, LLC · BALA CYNWYD, PA
PST ADVISORS, LLC · BALA CYNWYD, PA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHILADELPHIA, PA
OSAIC WEALTH, INC. · Bala Cynwyd, PA
EQUITABLE ADVISORS, LLC · BALA CYNWYD, PA
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OUP MANAGEMENT CO., LLC · BALA CYNWYD, PA
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