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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2005-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 06/2005 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 06/2005 | Present |
1) D Chad Frick CPA - Income Tax Preparer - Indiana, PA - 01/2006 - 5hrs/mth. 2) CMA Church of Indiana PA - Board of Elders Non-Investment - Indiana, PA - 01/2026 - 8hrs/mth. 3) Jean Shields Realty - Treasurer/Stockholder - Indiana, PA - 01/2001 - 2hrs/mth. 4) Indiana Regional Medical Center Foundation - Board Member Non-Investment - Board Member - Indiana, PA - 04/2016 - 2hrs/mth. 5) David Frick Associates - Owner Non-Investment - Indiana, PA - 01/2002 - 2hrs/mth. 6) Independent Agent Outside Fixed Insurance Appointments
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-19 |
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