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Richard A Eisenberg

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Type: SEC and FINRA Registered

Richard Eisenberg is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,200 registered representatives nationwide. Richard has held an industry securities registration for 31 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
AXA Advisors, LLC 3 years, 11 months Jan 2012 - Present
Hornor, Townsend & Kent, Inc. 1 year, 5 months Jun 2010 - Nov 2011
Penn Mutual Life Ins Co 3 years, 6 months May 2008 - Nov 2011
Park Avenue Securities LLC 2 years, 2 months Jun 2006 - Aug 2008
Guardian Life Insurance Co of America 2 years, 2 months Jun 2006 - Aug 2008
Park Avenue Securities 6 years, 1 month May 2000 - Jun 2006
Guardian Life Insurance Co 12 years, 9 months Sep 1993 - Jun 2006
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 05/23/2012
Uniform Securities Agent State Law ExaminationSeries 63 04/30/1982
General Securities Representative ExaminationSeries 7 03/20/1982

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Richard A Eisenberg has not answered any questions on Financial Q&A.

Top Articles

Richard A Eisenberg has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees