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Investment Adviser Firm Summary

AXA ADVISORS, LLC (CRD# 6627 / SEC# 8-17883, 801-14065)
Alternate Names: AXA ADVISORS, LLC , AXA ADVISORS, LLC , EQ FINANCIAL CONSULTANTS, INC. , EQUICO SECURITIES, INC. , PARAMOUNT PLANNING GROUP, A DIVISION OF AXA ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/22/1978

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/17/1999
Alaska 07/09/1992
Arizona 03/28/2003
Arkansas 07/16/1992
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/09/1997
Delaware 08/19/2003
District of Columbia 03/29/2001
Florida 05/19/1985
Georgia 05/14/1992
Hawaii 10/01/1999
Idaho 07/13/1992
Illinois 03/03/1985
Indiana 03/29/2001
Iowa 10/11/1999
Kansas 01/09/1998
Kentucky 06/10/1985
Louisiana 08/08/2002
Maine 08/08/1992
Maryland 03/29/2001
Michigan 10/05/1999
Minnesota 05/16/1985
Mississippi 10/24/2000
Missouri 08/13/1985
Montana 02/23/1998
Nebraska 07/31/1999
Nevada 12/26/1990
New Hampshire 08/11/1992
New Jersey 04/03/1985
New Mexico 02/08/2000
New York 11/07/1984
North Carolina 10/24/2000
North Dakota 03/29/2001
Ohio 01/01/2000
Oklahoma 12/03/1999
Oregon 03/29/2001
Pennsylvania 03/29/2001
Puerto Rico 03/29/2001
Rhode Island 01/01/1999
South Carolina 03/29/2001
South Dakota 07/02/1992
Tennessee 09/09/1997
Texas 09/20/1999
Utah 06/03/1992
Vermont 02/09/1995
Virgin Islands 04/29/2010
Virginia 09/02/1987
Washington 07/28/1992
West Virginia 06/23/1992
Wisconsin 03/31/1993
Wyoming 07/31/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser