Michael J Steele
Professional Summary
Michael J Steele, who also goes by Michael J Hicks, is a registered financial advisor currently at EQUITABLE ADVISORS, LLC located in Syracuse, New York and EQUITABLE DISTRIBUTORS, LLC located in Syracuse, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael J Hicks
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
Years of Experience
23 years in the financial services industry
Current & Past Employments
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
Current Firm
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC
Contact Information
Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262Mailing Address
1345 Avenue Of The Americas, New York, NY 10105Phone Number
(212) 314-2137Established
Delaware since 01/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | — |
| CANNON, CHRISTIAN JAMES | GENERAL COUNSEL | 2783948 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| LARUSSA, CHRISTOPHER JOHN | CHIEF COMPLIANCE OFFICER | 4728315 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
Arbitration
1Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
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.
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
(10/20/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2003About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 2010About the Series 26 examSRO Registrations
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Michael J Steele's CRS (Customer Relationship Summary).
Similar Advisors
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
