Andrew C. Houston

EQUITABLE DISTRIBUTORS

Charlotte, NC 28262

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CRD#: 6085110

Professional summary

Andrew Christopher Houston is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Christopher Houston's CRS (Customer Relationship Summary).

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

Current

September 15, 2022 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262

CRD#: 25900

Charlotte, NC

Past

October 19, 2018 - August 26, 2022

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CHARLOTTE, NC

Past

December 6, 2017 - August 26, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHARLOTTE, NC

Past

March 3, 2014 - November 9, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

East Rochester, NY

Past

August 21, 2012 - September 23, 2013

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/15/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

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

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Contact information

Main Address

8501 Ibm Drive, Suite 150, Charlotte, NC 28262

Mailing Address

1345 Avenue Of The Americas, New York, NY 10105

Phone number

(212) 314-2137

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Andrew C. Houston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Christopher Houston's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MML INVESTORS SERVICES, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2018

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2012

Series 24

Date: 12/12/2019

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EQUITABLE DISTRIBUTORS, LLC

TRUST BUT VERIFY

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