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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2000-01-18 |
Branch Locations
155 N. Lake Ave Suite 950, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/1999 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 09/1999 | Present |
1) SW Financial Services, Inc. 155 N. Lake Avenue, Suite 500 Pasadena, Ca 91101. Position: President, Corporation set up for tax purposes. Deposit of group health insurance commissions. 2) Member - Bond Oversight Committee for the Los Angeles City College. 3) Appointments with various health insurance carriers for medical, dental, and vision insurance. 4) Trustee - Immediate Family Trust
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-03-10 |
| S65 | Uniform Investment Adviser Law Examination | 1999-06-10 |
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