Norman O. Albano

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CRD#: 2284

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Norman Onofrio Albano was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1972. Norman had worked at 2 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 20, 1980 - December 19, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

ROSWELL, GA

Past

December 1, 1972 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EQUITABLE ADVISORS, LLC

CRD#: 6627 / SEC#: 801-14065, 8-17883

RIA

Registered Investment Advisory firm - SEC (9/22/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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Exams

General Industry/Product Exam

Series 1

Date: 11/27/1972

Registered Representative Examination

Current Firm

EQUITABLE ADVISORS, LLC

CRD#: 6627 / SEC#: 801-14065, 8-17883

RIA

Registered Investment Advisory firm - SEC (9/22/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1345 Avenue Of The Americas, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 3rd Floor, New York, NY 10105

Phone number

(212) 314-4600

Established

Delaware since 07/19/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

5,876

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

EQUITABLE ADVISORS, LLC FORM ADV PART 2A (9/26/2025)

Direct owners and executive officers

Name	Position	CRD#
EQUITABLE DISTRIBUTION HOLDING CORPORATION	MEMBER
BONADONNA, MARYJEAN ELIZABETH	CHIEF RISK OFFICER	3199562
BOYLAN, PATRICIA AGNES	BROKER DEALER CHIEF COMPLIANCE OFFICER	3231492
BROWNING, RALPH EDWARD II	CHIEF PRIVACY OFFICER	6914526
CANNON, CHRISTIAN JAMES	VICE PRESIDENT AND GENERAL COUNSEL
JONES, GINA MARIE	VICE PRESIDENT AND FINANCIAL CRIME OFFICER
KARR, DAVID WHITCOMB	CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER	1852445
LANE, NICHOLAS BURRITT	DIRECTOR	4994948
LARUSSA, CHRISTOPHER JOHN	INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER	4728315
MASSA, FRANK ANGELO JR	PRESIDENT/DIRECTOR	2241858
MELLIN, JAMES PATRICK	CHIEF SALES OFFICER	1859557
SCAPPATOR, CANDACE LYNN	CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER	4697607
SMITH, JANE LYNN	ASSISTANT VICE PRESIDENT	2158938
TIAN, QI NING	DIRECTOR	6166914
ZHANG, YUN	DIRECTOR	7600833
ZIMMERER, TRACY	VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER	4275481

Regulatory assets under management

Total Number of Accounts	89,151
AUM (Assets Under Management)	$ 38,039,299,080

Disclosures

Regulatory Event	26
Arbitration	11

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/16/2024	Cover Page	Report

Red Flags

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