IAN ARTHUR SOUTHALL

IAN ARTHUR SOUTHALL is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 10500 NE 8TH STREET, SUITE 1600, BELLEVUE, WA, 98004.

IAN ARTHUR SOUTHALL has worked at AXA ADVISORS, LLC since February 20, 2013

Disclosure History

IAN ARTHUR SOUTHALL has 3 Disclosure Event(s).

Date: June 28, 2011
Category: Financial
Type: Bankruptcy
Disposition: Dismissed

Date: February 28, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 06, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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