Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH ASHBY FAXIO
JOSEPH ASHBY FAXIO JR, JOSEPH ASHBY FAXIO JR., JOSEPH FAXIO, Joseph Ashby Faxio
CRD#: 4770886
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 DECATUR, GA
Registration History
2004200620082010201220142016201820202022202420263 FIRMS2004 - 2005 (1 year)3 FIRMS2006 - 2010 (4 years)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)
Disclosure(s)
View By:
6/28/2022
Judgment / Lien
License(s)

State Registrations

B
California 1/4/2023
IA
Mississippi 5/8/2024
IA
California 1/5/2023
B
Missouri 1/3/2023
B
District of Columbia 10/31/2023
IA
Missouri 3/2/2023
B
Florida 1/4/2023
B
New Jersey 1/3/2023
IA
Florida 1/6/2023
IA
New Jersey 1/4/2023
B
Georgia 12/12/2022
B
New York 12/16/2022
IA
Georgia 12/12/2022
IA
New York 12/16/2022
B
Illinois 8/8/2023
IA
North Carolina 12/13/2022
IA
Illinois 8/21/2023
B
North Carolina 12/14/2022
IA
Indiana 5/8/2024
B
Pennsylvania 12/12/2022
B
Indiana 5/13/2024
IA
Pennsylvania 12/14/2022
IA
Kansas 12/12/2022
B
Tennessee 4/12/2023
B
Kansas 12/13/2022
IA
Texas 12/9/2022
B
Massachusetts 1/4/2023
B
Texas 12/12/2022
B
Minnesota 12/14/2022
B
Virginia 12/16/2022
IA
Minnesota 12/14/2022
IA
Virginia 12/16/2022
B
Mississippi 5/8/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EQUITABLE ADVISORS, LLC (CRD#:6627)
DECATUR, GA
Registered with this firm since 12/9/2022
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
DECATUR, GA
Registered with this firm since 12/9/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/17/2019 - 12/13/2022 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) ATLANTA, GA
B
 05/10/2019 - 12/13/2022 PRUCO SECURITIES, LLC. (CRD#:5685) ATLANTA, GA
IA
 10/27/2015 - 02/01/2019 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 10/27/2015 - 02/01/2019 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 09/11/2015 - 09/25/2015 RIDGEWORTH DISTRIBUTORS LLC (CRD#:13494) ATLANTA, GA
IA
 09/16/2015 - 09/24/2015 RIDGEWORTH CAPITAL MANAGEMENT LLC (CRD#:107346) ATLANTA, GA
IA
 11/09/2012 - 08/17/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
B
 11/02/2012 - 08/17/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
IA
 08/16/2006 - 08/23/2010 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) ATLANTA, GA
IA
 08/16/2006 - 08/23/2010 TD AMERITRADE, INC. (CRD#:7870) ATLANTA, GA
B
 08/14/2006 - 08/23/2010 TD AMERITRADE, INC. (CRD#:7870) ATLANTA, GA
IA
 06/07/2004 - 06/29/2005 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) ATLANTA, GA
B
 06/07/2004 - 06/29/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/07/2004 - 06/29/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.