Frank R. Loys

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CRD#: 1084149

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.

Frank Ramiro Loys was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 9 firms and has passed the SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

August 7, 2013 - June 13, 2016

EQUITY SERVICES, INC.

CRD#: 265

TIMONIUM, MD

Past

July 15, 2004 - June 20, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

FAIRFAX, VA

Past

July 1, 2003 - June 22, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 13, 2001 - July 1, 2003

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 23, 2001 - August 10, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 27, 1998 - January 26, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 3, 1986 - December 31, 1987

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

Past

February 22, 1986 - August 26, 1998

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

GRASONVILLE, MD

Past

September 10, 1984 - July 3, 1986

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

CRD#: 3461

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 6/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/1984

Investment Company Products/Variable Contracts Representative Examination

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/4/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/2/2025)

ESI FORM ADV PART 2A (6/19/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI COMPASS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI DIRECTIONS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI ILLUMINATIONS) (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Frank R. Loys

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

ESSEX NATIONAL SECURITIES, LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

CONSECO FINANCIAL SERVICES, INC.

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

Primary Firm SEC Registration

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 6/13/2016

Series 7

Date: 7/20/1985

Series 6

Date: 9/7/1984

Current Firm

EQUITY SERVICES, INC.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EQUITY SERVICES, INC.

TRUST BUT VERIFY

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