Alberic B. Cardinal
Professional summary
Alberic Baptiste Cardinal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alberic is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Alberic had worked at 2 firms, which includes THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 30, 1982 - June 16, 2014
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
CRD#: 4039 / SEC#: , 8-14082
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXA FINANCIAL, INC. | SHAREHOLDER | |
| BEBEAR, CLAUDE | DIRECTOR | 2190371 |
| BROCKSOM, CHRISTOPHER JOHN | DIRECTOR | 2273261 |
| COLLOCH, FRANCOISE | DIRECTOR | 2273262 |
| DELACROIXDECASTRIES, HENRI | DIRECTOR | 2413752 |
| DIONNE, JOSEPH LEWIS | DIRECTOR | 1485211 |
| DUVERNE, DENIS | DIRECTOR | 3028622 |
| ESREY, WILLIAM TODD | DIRECTOR | 202413 |
| FOURTOU, JEAN RENE | DIRECTOR | 2273265 |
| FRANCIS, NORMAN CHRISTOPHER | DIRECTOR | 1968944 |
| GARBER, ROBERT E | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | 2231578 |
| GREENE, DONALD JOHN | DIRECTOR | 2190390 |
| HAMILTON, ANTHONY JOHN | DIRECTOR | 2706166 |
| HARTLEY, JOHN THOMAS | DIRECTOR | 2190356 |
| HASKELL, JOHN HENRY FARRELL | DIRECTOR | 239380 |
| HEGARTY, MICHAEL | PRESIDENT, CHIEF OPERATING OFFICER & DIRECTOR | 2474862 |
| HENDERSON, MARY REGINA | DIRECTOR | 2849961 |
| JARMAIN, WILLIAM EDWIN CHARLES | DIRECTOR | 2273266 |
| JOHNSTON, DON | DIRECTOR | 1537624 |
| KAPLAN, DONALD ROY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL | 1727509 |
| LOWY, GEORGE THEODORE | DIRECTOR | 2273267 |
| MILLER, EDWARD DANIEL | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & DIRECTOR | 2940587 |
| NORIS, PETER DANA | EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 1327281 |
| PINEAUVALENCIENNE, DIDIER | DIRECTOR | 1990731 |
| SELLA, GEORGE J | DIRECTOR | 1830782 |
| SUQUET, JOSE MINO SUAREZ | EXECUTIVE VICE PRESIDENT & CHIEF DISTRIBUTION OFFICER | 709852 |
| TULLIN, STANLEY BERNARD | SENIOR EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR | 2761384 |
| WILLIAMS, DAVE HARRELL | DIRECTOR | 467574 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 10 |
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