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Richard A Eisenberg

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Type: Dual Registration

Richard Eisenberg is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,400 registered representatives nationwide. Richard has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
AXA Advisors, LLC 2 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

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

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.

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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees