Susan Ann Galati

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
TX	RA	APPROVED_RES	2011-02-25

NY RA
APPROVED

Since 2021-04-12
TX RA
APPROVED_RES

Since 2011-02-25

Branch Locations

Baldwin, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
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 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

1) TAX PREPARATION OF TAX RETURNS. 10/85 TO PRESENT, 80 HRS/MO, $800 MONTHLY COMPENSATION. 2) PREPARE AND SUBMIT COLLEGE FINANCIAL AID FORMS, 01/05/1985, 12 HRS MO., $12,000 PER YEAR.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-08
S63	Uniform Securities Agent State Law Examination	1986-01-28

S65 Uniform Investment Adviser Law Examination

1999-10-08
S63 Uniform Securities Agent State Law Examination

1986-01-28

Other Names

Susan A Galati

View on SEC IAPD