Relationship Summary, General Conflicts of Interest Disclosure and Related Materials

• Relationship Summary (Form CRS)
• General Conflicts of Interest Disclosures
• Annuities Disclosure Form (NY Reg 187)
• Life Insurance Disclosure Form (NY Reg 187)
• NAIC Buyer’s Guide
• Non-Proprietary Variable Annuities List
• Non-Proprietary Variable Life Products List
• Third Party Compensation and Conflicts of Interest Disclosure
• LIBOR Disclosure Form

Insured Cash Account Program information

Accounts that clear through LPL Financial, including brokerage, Strategic Asset Management and other LPL Financial-sponsored investment advisory accounts, provide an Insured Cash Account Program. The Insured Cash Account (ICA) Program is an FDIC-insured bank-deposit cash sweep program, subject to certain limitations and other requirements. Click on the links below for additional information on the program.

• Insured Cash Account Program Disclosure Booklet
• Insured Cash Account Bank List
• Insured Cash Account Rates
• Insured Cash Account Bank List (Business Accounts)
• Insured Cash Account Bank List (Qualified Accounts)

Deposit Cash Account Program information

Advisory IRA Accounts that clear through LPL Financial, provide a Deposit Cash Account Program. The Deposit Cash Account (DCA) Program is a FDIC-insured bank-deposit cash sweep program, subject to certain limitations and other requirements. Select the document links below for additional information on the program.

• Deposit Cash Account Program Disclosure Booklet
• Deposit Cash Account Bank List
• Deposit Cash Account Rates

Disclosures

Account disclosures

• Business Continuation Plan Summary

Agreements

• Master Account Agreement
• Manager Select Account Agreement
• Model Wealth Portfolio (MWP) Account Agreement
• Optimum Market Portfolio (OMP) Account Agreement
• Personal Wealth Portfolio (PWP) Account Agreement
• Strategic Asset Management (SAM) Programs Account Agreement

Fee schedules

• Client Fee Schedule
• Miscellaneous Account and Service Fees Schedule - Advisory
• Miscellaneous Account and Service Fees Schedule - Brokerage
• Miscellaneous Account and Service Fee Schedule – OMP
• Miscellaneous Account and Service Fee Schedule – MWP
• Miscellaneous Account and Service Fee Schedule – PWP
• Miscellaneous Account and Service Fee Schedule – Outside Investment Accounts

Code of Ethics

Privacy Notice

SIPC Coverage

Investor resources

• FINRA BrokerCheck
• SEC
• MSRB
• Alternative Investment Guide
• Client Product and Service Guide
• Equitable Family of Annuities
• Equitable Family of Annuities ADV
• Principles of Investing Guide

Equitable financial reports

• EQH Annual Report

Investment advisory – firm brochure

• ADV Form Part 2A

Equitable Customer Security Center

Mailings