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Current Employers
Equity Services, Inc.

One National Life Drive, Montpelier, VT 05604 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-12-05
  • NJ RA
    APPROVED
    Since 2022-12-05

Branch Locations

200 Schulz Drive Suite 125, Red Bank, NJ 07701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Company Cranford NJ 07/2015 03/2018
Park Avenue Securities Cranford NJ 07/2015 03/2018
Signator Investors Inc Yardley NJ 03/2018 11/2018
Royal Alliance Associates, Inc. Yardley PA 11/2018 11/2022
National Life Group Red Bank NJ 12/2022 Present
Equity Services, Inc. Montpelier VT 12/2022 Present
  • 07/2015 → 03/2018
    Guardian Life Insurance Company
    Cranford, NJ
  • 07/2015 → 03/2018
    Park Avenue Securities
    Cranford, NJ
  • 03/2018 → 11/2018
    Signator Investors Inc
    Yardley, NJ
  • 11/2018 → 11/2022
    Royal Alliance Associates, Inc.
    Yardley, PA
  • 12/2022 → Present
    National Life Group
    Red Bank, NJ
  • 12/2022 → Present
    Montpelier, VT
Previous Registrations
  • 2018-11-02 → 2022-12-06
    Yardley, PA
  • 2018-03-29 → 2018-11-02
    Signator Investors, Inc.
    Matawan, NJ
    Yardley, PA
  • 2010-05-06 → 2018-04-13
    Holmdel, NJ
    Marlton, NJ
    Holmdel, NJ
    Holmdel, NJ
    Colts Neck, NJ
  • 2007-01-22 → 2010-03-26
    Msi Financial Services, Inc.
    Moorestown, NJ
    Mount Laurel, NJ
    Short Hills, NJ
    Mt Laurel, NJ
Other Businesses

1. BENEVOLENT & PROTECTIVE ORDER OF ELKS. 249 BROADWAY, KEYPORT NJ. NOT INV REL. APRIL 2019. PAST EXALTED RULER. NON PROFIT FRATERNAL ORGANIZATION. ATTEND MEETINGS. ADVISE CURRENT OFFICERS ON PROCEDURES OF THE ORDER. VOLUNTEER AT CHARITABLE FUNCTIONS. HELP TO INSTALL NEW MEMBERS. DURING SOME TRADE HRS. 2. SPECIAL NEEDS FUNDING COACH. 200 SCHULZ DRIVE, SUITE 125, RED BANK, NJ 07701. NOT INV REL. DEC 2022. BROKER. WEBSITE AND RESOURCE ORGANIZATION TO DRIVE SPECIAL NEEDS PLANNING. TO INFORM AND EDUCATE FAMILIES WITH A SPECIAL NEEDS DEPENDENT HOW TO PLAN TO RETAIN GOVERNMENT BENEFITS, ESTATE PLAN, AND MAXIMIZE RESOURCES. DURING TRADE HRS. 3: INTEGRATED FINANCIAL CONCEPTS, LLC. 200 SCHULZ DRIVE, SUITE 125, RED BANK, NJ 07701. INV REL. DEC 2022. INSURANCE SALES. SALES AGENT. BROKER AGENT FROM A NLV AGENCY. 100% DURING TRADING HOURS 8-5.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-22
  • S66 Uniform Combined State Law Examination
    2006-09-22
Other Names
  • Kevin Pent

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