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Andrew Houston

Senior Vice President and Chief Operating Officer at Equitable Investment Management Group

Broker registration; no current adviser registrationSEC record checked 18 October 2026

1
Past adviser firms
5
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Andrew Houston is Senior Vice President and Chief Operating Officer of Equitable Investment Management Group, LLC, a New York investment adviser managing $167B. Andrew Houston has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Equitable Investment Management Group

Title on Schedule A
Senior Vice President and Chief Operating Officer
Control
Andrew Houston is a control person of Equitable Investment Management Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
Andrew Houston has held the filed role since November 2025.

The firm

Equitable Investment Management Group, LLC
New York, NY

Form ADV filed 27 March 2026

$167B AUM3 clients11 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed Series 24 · 2019
  3. Equitable Advisors, LLC
    – · 4 years
    Charlotte, NC · Adviser representative · Firm CRD 6627
  4. Passed SIE and Series 66 · 2018
  5. Passed Series 7 · 2012

Registrations and exams

Broker registration; no current adviser registration. Andrew Houston has passed 5 qualifying exams.

Examinations

Series 6618 October 2018
Name
Uniform Combined State Law Examination
Series 2412 December 2019
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 720 August 2012
Name
General Securities Representative Examination

Individual record

Full name
Andrew Christopher Houston
CRD
6085110
Firm
Equitable Investment Management Group, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Andrew Houston work?

Andrew Houston has been Senior Vice President and Chief Operating Officer of Equitable Investment Management Group, LLC since November 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Andrew Houston have a current investment-adviser registration?

Andrew Houston has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Andrew Houston passed?

Andrew Houston has passed 5 licensing exams: the Series 7, SIE, Series 66, Series 24 and Series 99TO. The earliest, the Series 7, was passed in August 2012.

Source: IAPD individual record, checked 18 October 2026

Where was Andrew Houston previously registered as an investment adviser?

Andrew Houston has past investment-adviser registrations through Equitable Advisors, LLC, October 2018 to August 2022, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at Equitable Investment Management Group

Sources

  1. IAPD individual record, CRD 6085110. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Equitable Investment Management Group, LLC, filed 27 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Andrew Houston or Equitable Investment Management Group, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.