James S. Mendelson
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.
James Stuart Mendelson, who also goes by Jim Stuart Mendelson, Jim Mendelson, James Stuart Mendelson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 14 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2019 - May 27, 2020
EQUITY SERVICES, INC.
August 24, 2017 - February 14, 2018
MML INVESTORS SERVICES, LLC
January 21, 2016 - May 17, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
September 24, 2014 - December 31, 2015
VANDERBILT SECURITIES, LLC
October 18, 2012 - July 17, 2014
HORNOR, TOWNSEND & KENT, LLC
August 29, 2008 - October 31, 2012
PARK AVENUE SECURITIES LLC
May 8, 2007 - March 28, 2008
AMERITAS INVESTMENT COMPANY, LLC
September 12, 2005 - December 13, 2006
PARK AVENUE SECURITIES LLC
June 27, 2003 - July 21, 2005
1717 CAPITAL MANAGEMENT COMPANY
March 11, 1999 - June 13, 2003
VOYA FINANCIAL ADVISORS, INC.
September 10, 1998 - February 12, 1999
TOWER SQUARE SECURITIES, INC.
February 3, 1993 - August 7, 1998
HORNOR, TOWNSEND & KENT, LLC
October 16, 1989 - January 22, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 16, 1989 - January 22, 1993
PRUCO SECURITIES, LLC.
December 8, 1982 - August 3, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 8, 1982 - August 3, 1989
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
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.
