AXA ADVISORS, LLC
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AXA ADVISORS, LLC
(CRD# 6627)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Sep 1978.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$14.7 Billion,
with discretion over
25%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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AXA ADVISORS, LLC
also reported in
Mar 2019
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5930
employees,
with
3538
performing advisory functions.
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A total of 845 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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AXA ADVISORS, LLC has one or more disclosure events currently on file with the SEC.
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AXA ADVISORS, LLC has Notice Filings with the following State Securities Authorities:
AK-Jul 1992, AL-Dec 1999, AR-Jul 1992, AZ-Mar 2003, CA- CO-Jan 1999, CT-Jul 1997, DC-Mar 2001, DE-Aug 2003, FL-<
, GA-May 1992, HI-Oct 1999, IA-Oct 1999, ID-Jul 1992, IL-<
, IN-Mar 2001, KS-Jan 1998, KY-Jun 1985, LA-Aug 2002, MD-<
, ME-Aug 1992, MI-Oct 1999, MN-May 1985, MO-Aug 1985, MS-<
, MT-Feb 1998, NC-Oct 2000, ND-Mar 2001, NE-Jul 1999, NH-<
, NJ-Apr 1985, NM-Feb 2000, NV-Dec 1990, NY-Nov 1984, OH-<
, OK-Dec 1999, OR-Mar 2001, PA-Mar 2001, PR-Mar 2001, RI-<
, SC-Mar 2001, SD-Jul 1992, TN-Sep 1997, TX-Sep 1999, UT-<
, VA-Sep 1987, VI-Apr 2010, VT-Feb 1995, WA-Jul 1992, WI-<
, WV-Jun 1992, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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