Niva WealthLet’s talk

Jane Smith

Assistant Vice President at Equitable Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Jane Smith is Assistant Vice President of Equitable Advisors, LLC, a New York investment adviser managing $47.3B. Jane Smith has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Equitable Advisors

Title on Schedule A
Assistant Vice President
Control
Jane Smith is a control person of Equitable Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jane Smith has held the filed role since July 1999.

The firm

Equitable Advisors, LLC
New York, NY

Form ADV filed 30 September 2026

$47.3B AUM76,027 clients4,664 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed Series 24 · 2021
  3. Passed Series 7TO · 2020
  4. Passed SIE · 2018
  5. Passed Series 26 · 2000
  6. Passed Series 63 · 1998
  7. Passed Series 6 · 1991

Registrations and exams

Broker registration; no current adviser registration. Jane Smith has passed 7 qualifying exams.

Examinations

Series 636 February 1998
Name
Uniform Securities Agent State Law Examination
Series 247 July 2021
Name
General Securities Principal Examination
Series 267 February 2000
Name
Investment Company Products/Variable Contracts Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 7TO11 March 2020
Name
General Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 624 July 1991
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Jane Lynn Smith
CRD
2158938
Firm
Equitable Advisors, 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 Jane Smith work?

Jane Smith has been Assistant Vice President of Equitable Advisors, LLC since July 1999, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Jane Smith have a current investment-adviser registration?

Jane Smith has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Jane Smith passed?

Jane Smith has passed 7 licensing exams: the Series 6, Series 63, Series 26, SIE, Series 7TO, Series 24 and Series 99TO. The earliest, the Series 6, was passed in July 1991.

Source: IAPD individual record, checked 17 October 2026

Leadership at Equitable Advisors

  • David Whitcomb Karr
    Chairman of the Board and Chief Executive Officer
  • Maryjean Elizabeth Bonadonna
    Vice President, Business Governance and Supervisory Oversight
  • Christian James Cannon
    Vice President and General Counsel
  • Gina Marie Jones
    Vice President and Financial Crime Officer
  • Frank Angelo JR Massa
    President/Director
  • Tracy Zimmerer
    Vice President, Principal Operations Officer
  • Patricia Agnes Boylan
    Chief Compliance Officer
  • John Michael JR. Kennedy
    Chief Privacy Officer
  • Nicholas Burritt Lane
    Director
  • James Patrick Mellin
    Chief Sales Officer
  • Candace Lynn Scappator
    Controller/FINOP/Principal Financial Officer
  • Qi Ning Tian
    Director
  • Yun Zhang
    Director

Sources

  1. IAPD individual record, CRD 2158938. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Equitable Advisors, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 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 Jane Smith or Equitable Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.