EQUITABLE ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 6627). Regulatory assets under management: $42.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 125 people.
| Name | Role | Location |
|---|---|---|
| Yun Zhang | DIRECTOR | New York, NY |
| Frank Angelo Jr Massa | PRESIDENT/DIRECTOR | — |
| Maryjean Elizabeth Bonadonna | CHIEF RISK OFFICER | — |
| Gina Marie Jones | VICE PRESIDENT AND FINANCIAL CRIME OFFICER | — |
| David Whitcomb Karr | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | — |
| James Patrick Mellin | CHIEF SALES OFFICER | — |
| Jane Lynn Smith | ASSISTANT VICE PRESIDENT | — |
| Christian James Cannon | VICE PRESIDENT AND GENERAL COUNSEL | — |
| Ralph Edward Ii Browning | CHIEF PRIVACY OFFICER | — |
| Patricia Agnes Boylan | BROKER DEALER CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| Nicholas Burritt Lane | DIRECTOR | — |
| Candace Lynn Scappator | CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER | — |
| Tracy Zimmerer | VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | — |
| Qi Ning Tian | DIRECTOR | — |
| Christopher John Larussa | INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | — |
| Aaron Joseph Sarfatti | DIRECTOR | — |
| HERRMANN DAVID PAUL | DIRECTOR | — |
| GODOFSKY MARK DAVID | CONTROLLER/FINOP; SENIOR VICE PRESIDENT & CONTROLLER/FINOP; VICE PRESIDENT & CONTROLLER (+1 more) | — |
| BLITZ HARVEY EUGENE | DIRECTOR; EXECUTIVE VICE PRESIDENT & DIRECTOR | — |
| HAYES EDWARD JAMES | EXECUTIVE VICE PRESIDENT | — |
| BURNTHALL STEPHEN THOMAS | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, OSJ PRINCIPAL | — |
| COOLEY JILL DIANE | CHIEF RISK OFFICER; DIRECTOR; DIRECTOR; SENIOR VICE PRESIDENT; CHIEF OPERATING OFFICER; DIRECTOR (+1 more) | — |
| RYNIKER MICHAEL JOHN | SROP; VICE PRESIDENT; VICE PRESIDENT, OSJ PRINCIPAL-BD OPERATIONS, SROP (+1 more) | — |
| DANE EDWARD HAMBLETON | EXECUTIVE VICE PRESIDENT; PRESIDENT; DIRECTOR; PRESIDENT; DIRECTOR; OSJ PRINCIPAL - BD OPERATIONS | — |
| JONES ROBERT SEYMOUR JR | CHAIRMAN OF THE BOARD; DIRECTOR; CO PRESIDENT & CO CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
Showing 10 of 32 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-10-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT EXECUTED A SETTLEMENT AGREEMENT WITH A CUSTOMER CONTAINING LANGUAGE CONDITIONING THE SETTLEMENT ON A CUSTOMER'S AGREEMENT NOT TO OPPOSE OR OBJECT TO EXPUNGEMENT OF HIS CLAIMS FROM THE… | Final | $20K |
| 2019-05-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISTRIBUTED DOCUMENTS THAT NEGLIGENTLY MISREPRESENTED THE CREDIT QUALITY OF CERTAIN BOND FUNDS OFFERED WITHIN GROUP ANNUITY CONTRACTS FOR 401(K) RETIREMENT PLANS. THE FINDINGS STATED T… | Final | $600K |
| 2019-03-11 | regulatory | AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO AUGUST 8, 2014,RESPONDENT PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. RESPONDENT RECEIVED 12B-1 FEES IN… | Final | — |
| 2018-08-03 | regulatory | AFTER THE FIRM TERMINATED A REGISTERED REPRESENTATIVE FOR MAKING MISREPRESENTATIONS ON MULTIPLE CUSTOMER VARIABLE ANNUITY APPLICATIONS, A ROUTINE EXAM OF THE FIRM'S BOCA RATON OFFICE WAS CONDUCTED. THE STATE ALLEGED THAT THE FIRM VIOLATED NASD RULE 3010(A),3010(B), AND CERTAIN PROVISIONS OF CHAPTER… | Final | $50K |
| 2015-10-26 | regulatory | FINRA ALLEGES THAT SINCE AT LEAST JULY 1,2009, AXA ADVISORS SOLD CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS CERTAIN MUTUAL FUNDS WITH A FRONT-END SALES CHARGE OR CLASS B OR CLASS C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES WHEN THEY WERE ELIGIBLE TO P… | Final | — |
| 2015-02-26 | regulatory | FINRA ALLEGED THAT AXA ADVISORS, LLC FAILED TO ARBITRATE UNDER FINRA'S CODE OF ARBITRATION PROCEDURE, 102 DISPUTES BETWEEN THE FIRM AND ASSOCIATED PERSONS THAT AROSE FROM THE BUSINESS ACTIVITIES OF THE FIRM AND THE ASSOCIATED PERSONS. | Final | $150K |
| 2012-01-20 | regulatory | SEC ADMIN RELEASE 34-66206, JANUARY 20, 2012: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMED IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE PROCEEDINGS BE INSTITUTED PURSUANT TO SECTION 15(B)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AGAINST AXA A… | Final | $100K |
| 2011-12-27 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED AN EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY'S MARKET CONDUCT PRACTICES IN THE STATE OF CONNECTICUT COVERING THE TIME PERIOD FROM JANUARY 1, 2007 THROUGH DECEMBER 31, 2009. THE STATE ALLEGED THAT DURING THE PERIOD UNDER EXAMINATION, A… | Final | $61K |
| 2011-12-27 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED AN EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY'S MARKET CONDUCT PRACTICES IN THE STATE OF CONNECTICUT COVERING THE TIME PERIOD FROM JANUARY 1, 2007 THROUGH DECEMBER 31, 2009. THE STATE ALLEGED THAT DURING THE PERIOD UNDER EXAMINATION, A… | Final | $51K |
| 2011-06-02 | regulatory | FAILURE TO ADEQUATELY SUPERVISE SALESPERSON. | Final | $75K |