EQUITY SERVICES, INC. of MONTPELIER, VT is an SEC-registered investment adviser (CRD 265). Regulatory assets under management: $2.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pensions, Charities.
Showing 25 of 60 people.
| Name | Role | Location |
|---|---|---|
| Rebecca Palmer | CHIEF INFORMATION SECURITY OFFICER | Grand Cayman, E9 |
| Robert Franklin | SVP, COMPLIANCE & CCO | McLean, VA |
| Gregory Dwight Teese | SVP, OPERATIONS, COO | — |
| Ian Andrew Mckenny | VP, CHIEF COUNSEL & SECRETARY | — |
| Mehran Assadi | DIRECTOR & CHAIRMAN OF THE BOARD | — |
| Robert Earl Cotton | DIRECTOR | — |
| Ataollah Azarshahi | PRESIDENT & CEO | — |
| Matthew Frazee | DIRECTOR | — |
| Eric Keith Kucinskas | VP, FINOP & TREASURER | — |
| Rebecca Nassar Dunne | DIRECTOR | — |
| John Francis Keenan | SVP, BUSINESS DEVELOPMENT | — |
| EHINGER KENNETH RAY | CEO, SROP/CROP, DIRECTOR; CHAIRMAN, CEO, DIRECTOR; CHAIRMAN, CEO, PRESIDENT, DIRECTOR, CROP/SROP (+5 more) | — |
| ENGLESE STEPHEN ANTHONY | SENIOR VICE PRESIDENT | — |
| BERNARD SHARON ELLEN | CONTROLLER, TREASURER | — |
| TEESE GREGORY DWIGHT | SR. VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER; SR. VICE PRESIDENT, OPERATIONS; SVP, OPERATIONS, COO (+3 more) | — |
| MCQUESTION JAMES KENNETH | SECRETARY | — |
| MACLEAY THOMAS HENRY | DIRECTOR | — |
| KING TAMMY LYNNETTE | VICE PRESIDENT - MARKETING & FIELD DEVELOPMENT | — |
| BONACH EDWARD JOHN | DIRECTOR | — |
| JUNG KERRY ANNE | COUNSEL; COUNSEL, INVESTMENT ADVISORY SERVICES | — |
| MARYANOPOLIS CHRISTOPHER | PRESIDENT; PRESIDENT, SROP/CROP | — |
| SMITH ALFRED | DIRECTOR | — |
| CLEMENTS JAMES EDMOND | SR. VP, BUSINESS DEVELOPMENT | — |
| SMITH JANE MARIE | DIRECTOR | — |
| MORGAN ALLEN BENNERS JR | COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-06-16 | regulatory | THE INQUIRY ALLEGED 1) ONE ADVERTISEMENT USED "LOW COST" AND "AFFORDABLE" IN VIOLATION OF THE STATUTORY REQUIREMENTS FOR USING SUCH TERMS IN ADVERTISING; 2) LSW ACCEPTED BUSINESS FROM ONE AGENT WHO WAS NOT LICENSED IN VIRGINIA; AND 3) 13 INSTANCES OF FAILURE TO PROVIDE ADVERSE UNDERWRITING DECISION… | Final | $7K |
| 2020-04-14 | regulatory | FINDINGS ALLEGED ONE PRODUCER ACTING AS AN AGENT WITHOUT THE REQUIRED APPOINTMENT. | Final | $2K |
| 2019-09-30 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") CHARGED THE FIRM WITH WILLFUL VIOLATIONS OF SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), ALLEGING THAT, AT TIMES, FROM JANUARY 1, 2014 THROUGH JULY 7, 2017, THE FIRM PURCHASED, RECOMMENDED OR HELD FOR ADVISORY CLIENTS MUTUAL F… | Final | — |
| 2014-07-21 | regulatory | THE STATE OF WASHINGTON INSURANCE COMMISSION DEPARTMENT ALLEGED THAT BY ACCEPTING THE SALE OF THE LSW ANNUITY TO A WASHINGTON RESIDENT WITHOUT THE WASHINGTON REQUIRED REPLACEMENT FORM. | Final | $18K |
| 2014-01-16 | regulatory | THE STATE OF DELAWARE DEPARTMENT OF INSURANCE ALLEGED THAT LIFE INSURANCE COMPANY OF THE SOUTHWEST FAILED TO PROVIDE A REFERENCE OF THE STATISTICS USED IN MARKETING FORMS AND THAT IT FAILED TO PROVIDE NOTICE OF A REPLACEMENT TO INSURERS BEING REPLACED. | Final | $6K |
| — | criminal | — | — | — |
| — | regulatory | — | — | — |