EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 156933
- Firm name
- EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC
- Other names / DBAs
- 1290 ASSET MANAGERS; EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC; AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC
- IA scope
- ACTIVE
- SEC IA file
- 801-72220
- Branches
- 1
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10105, United States
Run KYC screen
Check EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + CFPB + courts + Fed + NHTSA + CISA + FINRA ↗