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Current Employers
Equitable Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2020-05-07
  • AZ RA
    APPROVED
    Since 2020-05-07

Branch Locations

14851 N. Scottsdale Road Suite 103, Scottsdale, AZ 85254 • United States

Phoenix, AZ • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Arque Capital Scottsdale AZ 06/2015 12/2016
Sagepoint Financial, Inc Phoenix AZ 12/2016 04/2020
Axa Equitable Scottsdale AZ 04/2020 06/2020
Axa Advisors, Llc New York NY 05/2020 06/2020
Equitable Advisors, Llc New York NY 04/2020 Present
Equitable Advisors, Llc New York NY 05/2020 Present
  • 06/2015 → 12/2016
    Arque Capital
    Scottsdale, AZ
  • 12/2016 → 04/2020
    Sagepoint Financial, Inc
    Phoenix, AZ
  • 04/2020 → 06/2020
    Axa Equitable
    Scottsdale, AZ
  • 05/2020 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 04/2020 → Present
    New York, NY
  • 05/2020 → Present
    New York, NY
Previous Registrations
  • 2016-12-15 → 2020-04-24
    Osaic Services, Inc.
    Scottsdale, AZ
  • 2015-06-22 → 2016-12-15
    Arque Capital, Ltd.
    Scottsdale, AZ
    Scottsdale, AZ
    Scottsdale, AZ
  • 2011-08-25 → 2015-06-05
    Scottsdale Az, AZ
    Scottsdale, AZ
    Newport Beach, CA
    Zephyr Cove, NV
  • 2010-09-20 → 2011-08-12
    Scottsdale, AZ
  • 2009-06-11 → 2011-03-28
    The Planning Group
    Scottsdale, AZ
  • 2008-12-01 → 2009-04-03
    Chase Investment Services Corp.
    Scottsdale, AZ
  • 2007-10-10 → 2008-09-18
    Phoenix, AZ
    Fort Mill, SC
    Scottsdale, AZ
    Phoenix, AZ
  • 2007-06-19 → 2007-10-09
    Uvest Financial Services Group, Inc.
    Phoenix, AZ
    Scottsdale, AZ
Other Businesses

1. HOA Board Member - President - Paradise Valley Villas Homeowner's Association - not investment related 2. Trustee - Immediate Family.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-06-18
S63 Uniform Securities Agent State Law Examination 1988-06-23
  • S65 Uniform Investment Adviser Law Examination
    2007-06-18
  • S63 Uniform Securities Agent State Law Examination
    1988-06-23
Other Names
  • Elizabeth Arndt
  • Patricia E Arndt
  • Liz Arndt
  • Patricia Elizabeth Arndt
  • Elizabeth Arndt
  • Liz White
  • Elizabeth White

View on SEC IAPD

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