Michael F. Fafian
Professional summary
Michael Francis Fafian is a registered financial professional currently at EQUITABLE ADVISORS, LLC located in Charlotte, North Carolina and EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Francis Fafian's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2013 - Present
EQUITABLE ADVISORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28269May 6, 2024 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive, Suite 150, Charlotte, NC 28262July 28, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 28, 1999 - January 16, 2004
EQUITABLE ADVISORS, LLC
June 30, 1997 - September 21, 1998
FORESTERS FINANCIAL SERVICES, INC.
August 18, 1992 - April 1, 1996
USLIFE EQUITY SALES CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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 |
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