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James Diserio

Equitable Advisors, LLC

Stockton, CA

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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-04-16
  • CA RA
    APPROVED
    Since 2008-04-16

Branch Locations

1746 Grand Canal Blvd. #14B, Stockton, CA 95207 • 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) VARIOUS INSURANCE COMPANIES. 2. Personal Family Trust

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-10
S63 Uniform Securities Agent State Law Examination 2007-07-23
  • S65 Uniform Investment Adviser Law Examination
    2008-04-10
  • S63 Uniform Securities Agent State Law Examination
    2007-07-23

View on SEC IAPD

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JOHN PHILLIP MAROULIS
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THOMAS KENNETH WINKLER
BLAIR ANTHONY HAKE
BARBARA MARGARET MOORE
LARRY JOHN SWANSON
Michael Powell

Other Offices

EAGLE STRATEGIES LLC · STOCKTON, CA
AMERIPRISE FINANCIAL SERVICES, LLC · STOCKTON, CA
OSAIC WEALTH, INC. · STOCKTON, CA
LPL FINANCIAL LLC · STOCKTON, CA
PNC WEALTH MANAGEMENT LLC · STOCKTON, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · STOCKTON, CA
FINDEC WEALTH SERVICES, INC. · STOCKTON, CA
LPL FINANCIAL LLC · STOCKTON, CA

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