Ronald Francis Gottl

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
IA	RA	APPROVED	2013-01-18

IA RA
APPROVED

Since 2013-01-18

Branch Locations

Grimes, IA • United States

6165 Nw 86Th St Ste 239, Johnston, IA 50131 • 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 Yes
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 Yrok	NY	01/2013	06/2020
Equitable Advisors, Llc	New York	NY	01/2013	Present

01/2013 → 06/2020

Axa Advisors Llc

New Yrok, NY
01/2013 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2006-03-03 → 2013-01-14

Msi Financial Services, Inc.

West Des Moines, IA

West Des Moines, IA

Des Moines, IA

Des Moines, IA
2001-12-03 → 2006-01-24

M Holdings Securities, Inc.

Des Moines, IA

Other Businesses

VARIOUS OUTSIDE INSURANCE APPOINTMENTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-18
S63	Uniform Securities Agent State Law Examination	1985-12-06

S65 Uniform Investment Adviser Law Examination

1999-06-18
S63 Uniform Securities Agent State Law Examination

1985-12-06

Other Names

Ronald F Gottl

View on SEC IAPD