James Francis Carroll

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

Authority	Category	Status	Date
NH	RA	APPROVED	2026-03-20

NH RA
APPROVED

Since 2026-03-20

Branch Locations

Hopedale, MA • 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

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

07/12/2023, Member, Board of Directors, Blackstone Valley Development Corp (BVDC), 500 Prospect St, Pawtucket, RI 02860, non-profit organization who develops housing for veterans, low-income, disabled individuals, 1 hr/month, $0 comp, non-investment related; Approved to conduct business activity outside of Equitable Network Crump

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-02-09
S63	Uniform Securities Agent State Law Examination	1984-07-24

S65 Uniform Investment Adviser Law Examination

2000-02-09
S63 Uniform Securities Agent State Law Examination

1984-07-24

View on SEC IAPD