Howard Ross

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
NY	RA	APPROVED	2021-04-12

NY RA
APPROVED

Since 2021-04-12

Branch Locations

395 North Service Road Suite 206, Melville, NY 11747 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
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

OUTSIDE INSURANCE; TAX PREPARER, HOWARD ROSS JD,MBA,CFP, SYOSSET,NY 11791, JAN 1 1987; ATTORNEY, HOWARD ROSS ESQ, SYOSSET,NY 11791, JAN 1 1987; RENTAL PROPERTY, NEW JERSEY, MAY 1 2014; RENTAL PROPERTY, COOP NYC,NY, MAY 1 2014, BOARD MEMBER NYC CO-OP, VOTE ON DECISIONS OF CO OP, STARTED 9/21/16

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-12-09
S63	Uniform Securities Agent State Law Examination	1987-03-26

S65 Uniform Investment Adviser Law Examination

1996-12-09
S63 Uniform Securities Agent State Law Examination

1987-03-26

View on SEC IAPD