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James Mac Tate

Equitable Advisors, LLC

Riverton, WY

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WY RA APPROVED 2017-08-22
  • WY RA
    APPROVED
    Since 2017-08-22

Branch Locations

Riverton, WY • 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) APPOINTED TO SELL OUTSIDE EQUITABLE NETWORK INSURANCE BUSINESS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-01
S63 Uniform Securities Agent State Law Examination 1985-10-22
  • S65 Uniform Investment Adviser Law Examination
    2000-11-01
  • S63 Uniform Securities Agent State Law Examination
    1985-10-22
Other Names
  • James M Tate

View on SEC IAPD

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