Richard Todd Sweet

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
TX	RA	APPROVED_RES	2020-07-08
FL	RA	APPROVED	2015-10-22

TX RA
APPROVED_RES

Since 2020-07-08
FL RA
APPROVED

Since 2015-10-22

Branch Locations

Palm Beach, FL • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	07/2013	06/2020
Cmg Financial Planning Ltd.	Pearl River	NY	10/2013	06/2018
Equitable Advisors, Llc	New York	NY	07/2013	Present

07/2013 → 06/2020

Axa Advisors, Llc

New York, NY
10/2013 → 06/2018

Cmg Financial Planning Ltd.

Pearl River, NY
07/2013 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2005-10-04 → 2013-07-08

Kestra Investment Services, Llc

Greenwich, CT

Woodcliff Lake, NJ

Woodcliff Lake, NJ

Other Businesses

VARIOUS OUTSIDE INSURANCE APPOINTMENTS: SWEET MASTER LL, 2778 S. OCEAN BLVD. PALM BEACH, FL 33480., OWNER OF LLC, MASTER LLC HOLDING ALL OTHER LLC, INVESTMENT PROPERTIES FOR TAX PURPOSES ONLY. 11/17/2023, 1HR/MO. CARLYLE HOUSE, 103, 2773 S. OCEAN BLVE. #103, PALM BEACH FL, 33480, OWNER OF LLC, OWNER OF RENTAL PROPERTY, 11/17/2023, 1HR/MO. MEMBER OF A LIMITED LIABILITY COMPANY, 9989 HARBOR LAKE CIRCLE, 101 BOYNTON BEACH, FL 33437, OWNER OF LLC, OWNER OF RENTAL PROPERTY,11/17/2023, 1HR/MO. CARLYLE HOUSE, 101 LLC, 2773 S. OCEAN BLVD#101, PALM BEACH FL, 33480, OWNER/OWNER OF RENTAL PROPERTY,11/17/2023, 1HR/MO. DBA:The Wealth Advisor Group.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-12-27
S63	Uniform Securities Agent State Law Examination	1987-03-11

S66 Uniform Combined State Law Examination

2013-12-27
S63 Uniform Securities Agent State Law Examination

1987-03-11

View on SEC IAPD