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THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
CRD#: 4039/SEC#: 8-14082
PR
Previously Registered Brokerage Firm
Not currently registered as broker
Disclosures
22 Total Disclosures
12Regulatory Event10Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Established inNew York since 07/24/1959
TypeCorporation
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
AXA FINANCIAL, INC. SHAREHOLDER
BEBEAR, CLAUDE (CRD#: 2190371) DIRECTOR
BROCKSOM, CHRISTOPHER JOHN (CRD#: 2273261) DIRECTOR
COLLOCH, FRANCOISE (CRD#: 2273262) DIRECTOR
DELACROIXDECASTRIES, HENRI (CRD#: 2413752) DIRECTOR
DIONNE, JOSEPH LEWIS (CRD#: 1485211) DIRECTOR
DUVERNE, DENIS (CRD#: 3028622) DIRECTOR
ESREY, WILLIAM TODD (CRD#: 202413) DIRECTOR
FOURTOU, JEAN RENE (CRD#: 2273265) DIRECTOR
FRANCIS, NORMAN CHRISTOPHER (CRD#: 1968944) DIRECTOR
GARBER, ROBERT E (CRD#: 2231578) EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL
GREENE, DONALD JOHN (CRD#: 2190390) DIRECTOR
HAMILTON, ANTHONY JOHN (CRD#: 2706166) DIRECTOR
HARTLEY, JOHN THOMAS (CRD#: 2190356) DIRECTOR
HASKELL, JOHN HENRY FARRELL (CRD#: 239380) DIRECTOR
HEGARTY, MICHAEL (CRD#: 2474862) PRESIDENT, CHIEF OPERATING OFFICER & DIRECTOR
HENDERSON, MARY REGINA (CRD#: 2849961) DIRECTOR
JARMAIN, WILLIAM EDWIN CHARLES (CRD#: 2273266) DIRECTOR
JOHNSTON, DON (CRD#: 1537624) DIRECTOR
KAPLAN, DONALD ROY (CRD#: 1727509) VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL
LOWY, GEORGE THEODORE (CRD#: 2273267) DIRECTOR
MILLER, EDWARD DANIEL (CRD#: 2940587) CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & DIRECTOR
NORIS, PETER DANA (CRD#: 1327281) EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER
PINEAUVALENCIENNE, DIDIER (CRD#: 1990731) DIRECTOR
SELLA, GEORGE J (CRD#: 1830782) DIRECTOR
SUQUET, JOSE MINO SUAREZ (CRD#: 709852) EXECUTIVE VICE PRESIDENT & CHIEF DISTRIBUTION OFFICER
TULLIN, STANLEY BERNARD (CRD#: 2761384) SENIOR EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR
WILLIAMS, DAVE HARRELL (CRD#: 467574) DIRECTOR
AXA FINANCIAL, INC.
SHAREHOLDER

BEBEAR, CLAUDE (CRD#: 2190371)
DIRECTOR

BROCKSOM, CHRISTOPHER JOHN (CRD#: 2273261)
DIRECTOR

COLLOCH, FRANCOISE (CRD#: 2273262)
DIRECTOR

DELACROIXDECASTRIES, HENRI (CRD#: 2413752)
DIRECTOR

DIONNE, JOSEPH LEWIS (CRD#: 1485211)
DIRECTOR

DUVERNE, DENIS (CRD#: 3028622)
DIRECTOR

ESREY, WILLIAM TODD (CRD#: 202413)
DIRECTOR

FOURTOU, JEAN RENE (CRD#: 2273265)
DIRECTOR

FRANCIS, NORMAN CHRISTOPHER (CRD#: 1968944)
DIRECTOR

GARBER, ROBERT E (CRD#: 2231578)
EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL

GREENE, DONALD JOHN (CRD#: 2190390)
DIRECTOR

HAMILTON, ANTHONY JOHN (CRD#: 2706166)
DIRECTOR

HARTLEY, JOHN THOMAS (CRD#: 2190356)
DIRECTOR

HASKELL, JOHN HENRY FARRELL (CRD#: 239380)
DIRECTOR

HEGARTY, MICHAEL (CRD#: 2474862)
PRESIDENT, CHIEF OPERATING OFFICER & DIRECTOR

HENDERSON, MARY REGINA (CRD#: 2849961)
DIRECTOR

JARMAIN, WILLIAM EDWIN CHARLES (CRD#: 2273266)
DIRECTOR

JOHNSTON, DON (CRD#: 1537624)
DIRECTOR

KAPLAN, DONALD ROY (CRD#: 1727509)
VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL

LOWY, GEORGE THEODORE (CRD#: 2273267)
DIRECTOR

MILLER, EDWARD DANIEL (CRD#: 2940587)
CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & DIRECTOR

NORIS, PETER DANA (CRD#: 1327281)
EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER

PINEAUVALENCIENNE, DIDIER (CRD#: 1990731)
DIRECTOR

SELLA, GEORGE J (CRD#: 1830782)
DIRECTOR

SUQUET, JOSE MINO SUAREZ (CRD#: 709852)
EXECUTIVE VICE PRESIDENT & CHIEF DISTRIBUTION OFFICER

TULLIN, STANLEY BERNARD (CRD#: 2761384)
SENIOR EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR

WILLIAMS, DAVE HARRELL (CRD#: 467574)
DIRECTOR

Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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