Bertram S. Farmer
Professional summary
Bertram Stuart Farmer, who also goes by Bertham Stuary Farmer, Stu Farmer, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in New York, New York.
Bertram is registered as a RR (Registered Representative) and started their career in finance in 1986. Bertram has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bertram Stuart Farmer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2017 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105July 17, 2007 - June 28, 2017
EQUITABLE ADVISORS, LLC
December 13, 2004 - March 3, 2006
MONY SECURITIES CORPORATION
January 19, 2001 - August 16, 2004
EQUITABLE DISTRIBUTORS, LLC
April 20, 2000 - April 21, 2000
EQUITABLE ADVISORS, LLC
April 19, 2000 - June 28, 2017
EQUITABLE ADVISORS, LLC
December 23, 1986 - September 2, 1997
BROOKLIGHT PLACE SECURITIES, INC.
March 4, 1986 - October 22, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/27/2017)
Exams
FINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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