RC
Rodrique P. Cousino
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CRD#: 1019947
RC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rodrique Paul Cousino was a registered financial professional .
Rodrique is a previously registered financial professional and started their career in finance in 1983. Rodrique had worked at 5 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
*THE VERMONT AGENCY. INV REL. LIFE INS/ANNUITY SALES. SALES REP. 5/2012-CURRENT. 100 HRS/MO. DURING TRADE HRS. *NAIFA VERMONT. PO BOX 40, 95 BURLINGTON VT 05406. NOT INV REL. INDUSTRY PROFESSIONALS ORGANIZATION BOARD MEMBER. DIRECTOR. SEPTEMBER 2015. 2-3 HRS/MO. DURING SOME TRADE HRS. *KNIGHTS OF COLUMBUS FRATERNAL ORG. ST. AMBROSE CHURCH. SCHOOL ST, BRISTOL, VT. NOT INV REL. 2009. VOLUNTEER TO FUNDRAISERS, PROVIDE WORKERS WHERE ASKED, ASSISTANCE IN CHURCH OR COMMUNITY SPONSORED EVENTS/PROGRAMS. DEPUTY GRAND KNIGHT. NOT DURING TRADE HRS. *ST. AMBROSE CATHOLIC CHURCH FUNERAL LUNCHEON COMMITTEE. SCHOOL ST, BRISTOL, VT. NOT INV REL. JUNE 1982. PROVIDE AN AFTER FUNERAL LUNCH FOR FAMILY AND FRIENDS. CHAIR PERSON. PHONING FOR HELP TO PICK UP FOOD FROM STORE, HALL AND FOOD PREP, SERVING AND CLEANING. NOT DURING TRADE HRS. *COUSINO RENTAL PROPERTIES. 295 HARDSCRABBLE ROAD, BRISTOL, VT. INV REL. MARCH 1978. 9 RENTAL UNITS. CO-OWNER WITH SPOUSE. COLLECT RENT, REPAIRS, CLEANINGS, AND MANAGING. DURING SOME TRADE HRS. *LANDMARK FINANCIAL SERVICES. 11 MAIN ST SUITE B206 VERGENNES VT. INV REL. OCT 2021. SALE AND SERVICE OF FIXED INS PRODUCTS. AGENT. DURING TRADE HRS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 21, 2017 - May 1, 2025
EQUITY SERVICES, INC.
RIA
CRD#: 265
VERGENNES, VT
Past
May 1, 2012 - May 1, 2025
EQUITY SERVICES, INC.
BD
CRD#: 265
VERGENNES, VT
Past
May 28, 2009 - May 3, 2012
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
BRISTOL, VT
Past
October 31, 2008 - June 3, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
BRISTOL, VT
Past
October 1, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
BRISTOL, VT
Past
December 2, 1983 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One National Life Drive, Montpelier, VT 05604
Mailing Address
One National Life Drive, Montpelier, VT 05604
Phone number
(800) 344-7437
Established
Vermont since 10/07/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
470
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
