Patrick Leroy Stephens

Employer firm

Equity Services, Inc. CRD 265

$2.78B regulatory AUM 410 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Equity Services, Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2022-06-07
MN	RA	APPROVED	2014-01-27

AZ RA
APPROVED

Since 2022-06-07
MN RA
APPROVED

Since 2014-01-27

Branch Locations

505 Highway 169 N Suite 245, Plymouth, MN 55441 • United States

9375 E Shea Boulevard #280, Scottsdale, AZ 85260 • United States

15455 Dallas Parkway Suite 100, Addison, TX 75001 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Equity Services Inc	Montpelier	VT	08/2001	Present

08/2001 → Present

Equity Services Inc

Montpelier, VT

Other Businesses

*RENTAL BUSINESS, INV. REL. (LOAN ON PROPERTY), LOCATED IN MN, RENTAL PROPERTY, OWNER, 09/15/06-PRES, 5 HR/MO AFTER 5:00 PM EST, COLLECT RENT BY MAIL, HAVE ANY MAINTENANCE THAT MAY OCCUR. *NATIONAL BUSINESS GROUP CENTRAL, LLC,TWO CARLSON PARKWAY,SUITE 410,PLYMOUTH, MN 55447,INV. REL., IN MN, SALE OF LIFE INS., VP, 5/8/07-PRES., 60 HRS/MO, DUR. TRAD. HRS, AGENT/BROKER FOR SEVERAL INS. COS TO SELL LIFE AND DIS. *PATRICK L STEPHENS,14190 COYOTE CIRCLE,PRIOR LAKE,MN 55372,P.O.A. FOR MOTHER,NOT INV REL,NOT DURING TRD/HRS,0%. *TEXAS NATIONAL FINANCIAL GROUP. 505 US - 169 N, SUITE 245, PLYMOUTH MN. INV REL. JULY 2026. DBA NAME USED FOR MARKETING PURPOSES ONLY. AGENT. NOT DUTIES. DURING TRADE HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-05-28
S63	Uniform Securities Agent State Law Examination	1996-04-25

S65 Uniform Investment Adviser Law Examination

2022-05-28
S63 Uniform Securities Agent State Law Examination

1996-04-25

Other Names

Patrick L Stephens

View on SEC IAPD