Harvey Alan Small

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1999 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 09/1999 → Present
  Equitable Advisors, Llc
  New York, NY

Other Businesses

WHISPERING WINDS WOODCRAFTING, SARASOTA FL, SOLE PROPRIETOR, STARTED JAN 2017, 3 HR/MO, NO COMP, NOT INVESTMENT RELATED. SENIOR MARKET SALES, OMAHA NE, OUTSIDE INSURANCE CARRIER, STARTED JAN 2013, HEALTH INSURANCE SALES, $500/YR COMP. UNITED HEALTH CARE, OUTSIDE INSURANCE CARRIER, STARTED JAN 1994, HEALTH INSURANCE, $5K/YR COMP. PRINCIPAL, OUTSIDE INSURANCE CARRIER, STARTED JAN 1994, TERM LIFE SALES, $400/YR COMP. CELTIC CONTINENTAL CAUSUALTY, OUTSIDE INSURANCE CARRIER, STARTED JAN 1994, HEALTH INSURANCE SALES, $200/YR COMP. JACKSON NATIONAL, OUTSIDE INSURANCE CARRIER, STARTED JAN 1994, TERM LIFE SALES, $900/YR COMP. CNA, OUTSIDE INSURANCE CARRIER, LTC INSURANCE SALES, STARTED JAN 1994, $400/YR COMP. Trustee for Spouse.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-12-21
• S65 Uniform Investment Adviser Law Examination
  1999-05-20