ELIZABETH ANN SCHWARZMAN is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 3141 FAIRVIEW PARK DRIVE, SUITE 250, FALLS CHURCH, VA, 22042.

ELIZABETH ANN SCHWARZMAN has worked at AXA ADVISORS, LLC since September 28, 2004

Disclosure History

ELIZABETH ANN SCHWARZMAN has 2 Disclosure Event(s).

Date: February 25, 2016
Category: Regulatory
Initiated By: Oregon Department of Consumer and Business Services
Allegations: The Oregon Division of Financial Regulation found that the individual had failed to provide complete and accurate information in an application for a non-resident insurance license.
Resolution: Withdrawn
Broker Comment: I have requested that the Oregon Division of Financial Regulation withdraw my non-resident license application. The State of Oregon allowed the application to be withdrawn without further action.

Date: May 24, 2013
Category: Regulatory
Initiated By: Wisconsin Office of the Commissioner of Insurance
Allegations: The Wisconsin Office of the Commissioner of Insurance denied the individual's application for a surplus lines insurance license because the individual did not respond promptly to request for information regarding the application and did not provide proof of a surplus lines license in her resident state. Individual mistakenly requested the surplus lines license.
Resolution: Decision SanctionDetails:
Sanctions: Denial
Broker Comment: In 2013, I applied for a non-resident life insurance license in the state of Wisconsin, but erroneously also clicked on the radial button for a surplus lines license. I subsequently received a request from the Insurance Department for the state of Wisconsin asking for a copy of my resident surplus lines license. Because I did not want or need a surplus lines license, I did not respond to the request, and subsequently was declined for that license. My life insurance license was issued without problem.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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