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Current Employers
Equity Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-01
  • NY RA
    APPROVED
    Since 2022-04-01

Branch Locations

410 Motor Parkway 2Nd Floor, Hauppauge, NY 11788 • United States

33 Main Street 3Rd Floor, West Sayville, NY 11796 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
North Ridge Securities Corp. Melville NY 10/2003 02/2019
Cogent (Real Wealth) Melville NY 01/1992 03/2022
Cetera Advisor Networks Llc Melville NY 02/2019 03/2022
National Life Hauppauge NY 04/2022 Present
Equity Services, Inc. Montpelier NY 04/2022 Present
  • 10/2003 → 02/2019
    North Ridge Securities Corp.
    Melville, NY
  • 01/1992 → 03/2022
    Cogent (Real Wealth)
    Melville, NY
  • 02/2019 → 03/2022
    Cetera Advisor Networks Llc
    Melville, NY
  • 04/2022 → Present
    National Life
    Hauppauge, NY
  • 04/2022 → Present
    Montpelier, NY
Previous Registrations
  • 2021-03-31 → 2021-12-31
    Cetera Wealth Services, Llc
    Melville, NY
Other Businesses

*JOHN C. DUNPHY PRIVATE FOUNDATION INC. NOT INV REL. 2014. PRIVATE FOUNDATION. PRESIDENT. DONATIONS TO 501C3 ORGANIZATIONS. DURING SOME TRADE HRS. *PROFESSIONAL PIANO PLAYER. 27 RICHMAR DR SAYVILLE NY. NOT INV REL. 20 YEARS +. PROFESSIONAL PIANO PLAYER. PLAY AT EVENTS. NOT DURING TRADE HRS. *POWER OF 3 PUBLISHING, INC. 27 RICHMAR DR SAYVILLE NY. NOT INV REL. OCT 2022. MUSIC PUBLISHING AND DISTRIBUTION. PRESIDENT. PROMOTING MUSICAL CONTENT TO CHURCHES AND CHURCH GROUPS. DURING SOME TRADE HRS. *KATCH. 850 VENETIAN BLVD, LINDENHURST NY. NOT INV REL. MARCH 2023. BOOKING MUSICAL ENTERTAINMENT. ENTERTAINMENT MANAGER. RESPONSIBLE FOR BOOKING BANDS TO PLAY DAILY STARTING MEMORIAL DAY THROUGH LABOR DAY. DURING SOME TRADE HRS. *SULLY'S WHARF. 400 BAYLAWN AVE, COPIAGUE, NY. NOT INV REL. MARCH 2023. BOOKING MUSICAL ENTERTAINMENT. ENTERTAINMENT MANAGER. RESPONSIBLE FOR BOOKING BANDS TO PLAY DAILY STARTING MEMORIAL DAY THROUGH LABOR DAY. DURING SOME TRADE HRS*ON THE ROAD WITH GOD,27 RICHMAR DRIVE, SAYVILLE, NY 11782,01/01/2026,ONGOING,MUSIC SITE,PRODUCING MUSIC & POSTING,NOT INV REL, NOT DURING TRD/HRS,OWNER/OPERATOR,5 HRS/WK,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-16
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1999-07-14
  • S66 Uniform Combined State Law Examination
    2007-06-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1999-07-14
Designations

View on SEC IAPD

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