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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-06-27 |
| CT | RA | APPROVED | 2005-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 06/2005 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 06/2005 | Present |
NAME OF ENTITY: WILTON CONGREGATIONAL CHURCHTYPE OF BUSINESS: CHURCHPOSITION: INVESTMENT COMMITTEE MEMBER # OF HOURS PER WEEK: 1NON-IVESTMENT RELATEDNAME OF ENTITY: WILTON HISTORICAL SOCIETY WILTON, CT 06897 POSITION: Board Member, Wilton Historical Society TYPES OF SERVICES PROVIDED: Monthly meetings to discuss fund raising, upcoming events, and general operations of a town Historical Society. START DATE: 09/03/2012 # OF HOURS PER MONTH: 3 AVERAGE YEARLY COMPENSATION: $0 NON-INVESTMENT RELATED ACTIVITY BUSINESS: MEMBER OF A LIMITED LIABILITY COMPANYNAME & ADDRESS: The CT Grp, LLC 500 Post Rd. East Westport, CT 06880POSITION: MEMBERROLE/RESPONSIBILITIES: COST SHARING ENTITY START DATE: 12/6/2006NUMBER OF HOURS PER MONTH: 0YEARLY COMPENSATION: $0NAME OF ENTITY: WILTON HISTORICAL SOCIETY WILTON, CT 06897 POSITION: INVESTMENT COMMITTEE TYPES OF SERVICES PROVIDED: WE PERIODICALLY REVIEW THE FUNDS THE ENDOWMENT HAS AT VANGUARD. WE DISCUSS ALLOCATION DECISIONS AND REBALANCING. I CAN'T MOVE FUNDS OUT. I DO NOT EFFECUATE TRADES WITH VANGUARD. OTHER MEMBERS ARE FOMER LARGE ACCOUNTING FIRM CPA'S AND INVESTMENT BANKERS. START DATE: 09/03/2012 # OF HOURS PER MONTH: 1 AVERAGE YEARLY COMPENSATION: $0 NON-INVESTMENT RELATED ACTIVITY NAME OF ENTITY: SPICEWOOD MAINE, LLC, WILTON, CT 06897 POSITION: MANAGER TYPES OF SERVICES PROVIDED: MANAGING A REAL ESTATE PROPERTY START DATE: 10/12/2017# OF HOURS PER MONTH: 10 AVERAGE YEARLY COMPENSATION: $0 NON-INVESTMENT RELATED ACTIVITY NAME OF ENTITY: ASHAR GROUPPOSITION: Participation in life settlement transactions through Equitable Advisors approved settlement brokers. START DATE: 2/19/21# HOURS/MONTH: 1; Outside Insurance Appointments
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-29 |
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