STEPHEN DAVIS SMALL is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 310 SEVEN FIELDS BLVD, SUITE 161, SEVEN FIELDS, PA, 16046.
STEPHEN DAVIS SMALL has worked at AXA ADVISORS, LLC since October 05, 2017
STEPHEN DAVIS SMALL has 1 Disclosure Event(s).Date: October 28, 2016
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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