Equitable Advisors Complaints - Law Offices of Robert Wayne Pearce, P.A

Nov 28, 2024

Jonathan Hurm Formerly With Equitable Advisors, LLC FIRED

Jonathan Hurm (CRD #6501610) who was formerly registered as a broker with Equitable Advisors, LLC and located in Cleveland, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. • Jonathan C. Hurm worked as a registered broker with Equitable Advisors, LLC, from August 2015 to October 2024. He also maintained part-time employment with Uncommon Fit, LLC, and coached lacrosse, indicating involvement in non-financial activities. • He passed one principal/supervisory exam, two general industry/product exams, and two multi-state securities law exams. Hurm’s qualifications included licenses such as the Series 24 (General Securities Principal), Series 7 (General Securities Representative), Series 63, and Series 65. • On October 16, 2024, Hurm was terminated by Equitable Advisors, LLC for violating internal company policy. According to the report, the termination did not relate to sales practices or the impact of clients. He is not currently registered with any securities firm.

Nov 26, 2024

Cody Anderson Formerly With Equitable Advisors, LLC FIRED

Cody Anderson (CRD #5999762) who was formerly registered as a broker with Equitable Advisors, LLC and located in Williamsville, New York, is a subject of one of our many securities industry sales practice abuse investigations. • Cody M. Anderson has been a registered broker since December 2011 but is not currently registered. He worked at two firms as a registered broker: AXA Advisors from 2011 to 2020 and Equitable Advisors, LLC, from 2012 to 2024. His most recent role as a registered representative reflects over 13 years of industry presence and regulatory compliance until this recent termination. • Anderson has passed two general industry/product exams and two multi-state securities law exams. • His employment with Equitable Advisors ended due to a termination following allegations of misconduct related to variable annuity applications involving the submission of multiple fictitious variable annuity applications.

Oct 24, 2024

Jamie Nowakowski of Equitable Advisors, LLC Reviews

Jamie Nowakowski (CRD #4472043) , located in Venice, Florida, is an experienced financial professional currently registered with Equitable Advisors, LLC since February 11, 2020. Throughout her career, Nowakowski has been registered with multiple firms, including Coastal Equities, Inc., Wells Fargo Advisors Financial Network, LLC, and CCO Investment Services Corp. She has passed seven industry exams, including two principal/supervisory exams and two multi-state securities law exams. Nowakowski holds licenses in nine U.S. states and territories, enabling her to serve a diverse client base across multiple regions. She is also the owner of Advanced Wealth Strategies, LLC.

Sep 11, 2024

Joshua Williams of Equitable Advisors, LLC Reviews

Joshua Williams (CRD #7194792) , located in Scottsdale, Arizona, is currently employed and registered with Equitable Advisors, LLC since November 2019. He has a broad scope of licensure, being registered with 1 Self-Regulatory Organization (SRO) and licensed in 6 U.S. states and territories. Williams has passed a total of 5 exams, including 1 principal/supervisory exam, 2 general industry/product exams, and 2 state securities law exams, showcasing his comprehensive qualifications in financial regulations and advisory services.

Sep 10, 2024

Benjamin Felicelli of Equitable Advisors, LLC Reviews

Benjamin Felicelli (CRD #3156010) , located in Toms River, New Jersey has extensive experience in the securities industry, currently employed by Equitable Advisors, LLC since October 2009. He is registered with one self-regulatory organization and licensed in 33 U.S. states and territories. Felicelli has passed three general industry/product exams and two multi-state securities law exams. His registration history shows previous affiliations with Morgan Stanley Smith Barney and Citigroup Global Markets Inc., highlighting a longstanding presence in major financial markets.

May 16, 2024

Ashlynn Mohan of Equitable Advisors, LLC Reviews

Ashlynn Mohan (CRD #6783536) ,has been employed with Equitable Advisors, LLC in Folsom, CA, since February 2018. Her tenure in the financial industry is relatively short, having passed only three general industry/product exams and two state securities law exams. Mohan’s professional qualifications do not include any principal/supervisory exams, limiting her roles to less authoritative positions within the brokerage firm. Registered in six U.S. states and territories, her geographic licensure is modest compared to more seasoned brokers. This limited scope and lack of higher-level certifications might concern clients looking for well-rounded expertise in financial management.

Jan 20, 2023

Howard Owens of Equitable Advisors, LLC

Howard Owens (CRD #5907110) who is currently registered with Equitable Advisors, LLC and located in Irvington, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, LLC, Howard Owens was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Mar 8, 2022

John Sandler of Equitable Advisors

John Sandler Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Mr. Sandler (CRD #3100310) who is currently registered with Equitable Advisors and located in Mineola, New York is a subject of one of our many securities industry sales practice abuse investigations.

Mar 8, 2022

Larry George of Equitable Advisors

Larry George Of Equitable Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Larry George (CRD #2864335) who is currently registered with Equitable Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations.

Mar 8, 2022

James Gibbs of Equitable Advisors

James Gibbs Of Equitable Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Mr. Gibbs (CRD #3273705) who is currently registered with Equitable Advisors and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.