Carter Gridley Rowles

Current Employers

Equitable Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2005-06-01

TX RA
APPROVED

Since 2005-06-01

Branch Locations

Austin, TX • United States

8911 N. Capital Of Texas Highway Bldg 4, Suite4350, Austin, TX 78759 • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	06/2005	06/2020
Equitable Advisors - Robert Flores	Austin	TX	06/2026	Present
Equitable Advisors, Llc	New York	NY	06/2005	Present

06/2005 → 06/2020

Axa Advisors, Llc

New York, NY
06/2026 → Present

Equitable Advisors - Robert Flores

Austin, TX
06/2005 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2004-02-17 → 2005-06-01

Mony Securities Corporation

Austin, TX

Other Businesses

Registered Sales Assistant Broker - Robert Flores - 8911 N. Capital of Texas HWy Bldg 4 Suite 4350 Austin, Tx. 78759 - Investment Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-10-04
S63	Uniform Securities Agent State Law Examination	1985-08-09

S65 Uniform Investment Adviser Law Examination

2005-10-04
S63 Uniform Securities Agent State Law Examination

1985-08-09

Designations

View on SEC IAPD