AXA Advisors, LLC
AXA Advisors (“AXA”) is a subsidiary of AXA Financial, Inc., and is incorporated in Delaware. AXA is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
AXA conducts 6 types of businesses. Its investment advisory services include financial planning, portfolio management, selection of other advisors, and pension consulting. Its clients consist of individuals, pension and profit sharing plans, and businesses. It is compensated for its investment advisory services with either a percentage of assets under its management, fixed fees, commissions, or hourly charges.