WT
Wesley H. Triani
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CRD#: 1025539
WT
Professional summary
Wesley Howard Triani was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wesley is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Wesley had worked at 2 firms, which includes EQUITY SERVICES INC., TOWER SQUARE SECURITIES INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wes Triani
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.
*WES H TRIANI AGENCY,INC.6 MARINA LN, BAYPORT,NY11705.INV REL.INS SLS. PRES. 8/80-PRES. 20 HR/MO DRU TRDNG.BROKER FOR LIFE&HLTH INSUR W/SEV COS.SELL LIFE,DI, GROUP&ANNTYS *THE QUINTESSENTIAL EXPERIENCE IN FINANCIAL SERVICES. 1393 VETERANS MEMORIAL HIGHWAY, SUITE 314N, HAUPPAUGE, NY 11788. INV REL. APRIL 2018. SALE/SERVICE OF FIXED INS PRODUCTS. BROKER. SALE/SERVICE OF FIXED INS PRODUCTS AS A BROKER WITH VARIOUS INS CARRIERS. DURING TRADE HRS. *WES TRIANI. INSTRCTR.CE&LUTC INST&MODERATOR. NOT INV REL.
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
June 22, 2021 - August 28, 2023
EQUITY SERVICES, INC.
RIA
CRD#: 265
HAUPPAUGE, NY
Past
February 21, 2003 - August 23, 2023
EQUITY SERVICES, INC.
BD
CRD#: 265
HAUPPAUGE, NY
Past
December 12, 2000 - January 3, 2003
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
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.
