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Information

Firm:
Type: Dual Registration
Description

Richard Eisenberg is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,600 registered representatives nationwide. Richard has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

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

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

Experience and Employment History

Employer Years Dates
AXA Advisors, LLC 2 years, 3 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
Guardian Life Insurance Co of America 2 years, 2 months Jun 2006 - Aug 2008
Park Avenue Securities LLC 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/08/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
04/08/2013
08/17/2013
*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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/23/2012
Uniform Securities Agent State Law Examination Series 63 04/30/1982
General Securities Representative Examination Series 7 03/20/1982

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees