Riley James Browning
Professional Summary
Riley James Browning, who also goes by Riley Browning, is a registered financial advisor currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina. Riley is registered as a RR (Registered Representative) and started their career in finance in 2025. Riley has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Riley Browning
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
2 years registered in the securities industry
Current & Past Employments
Current
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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
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/11/2025)
(1/23/2025)
(6/11/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2025About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Riley James Browning's CRS (Customer Relationship Summary).
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