RM
Robert F. Meyer
Some features on this profile are disabled
CRD#: 1152319
RM
Professional summary
Robert Frederick Meyer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Robert had worked at 3 firms, which includes EQUITY SERVICES INC., TNE INVESTMENT SERVICES CORPORATION, AETNA LIFE INSURANCE AND ANNUITY COMPANY.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Meyer | Bobby Meyer | Rob Meyer | Robert F Meyer
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.
*CAPITOL RISK BENEFIT CONCEPTS, LTD. 675 THIRD AVENUE SUITE 900, NY NY. PRESIDENT & SOLE SHAREHOLDER. 11/17/2000 AGENT/BROKER FOR SEVERAL INSURANCE COMPANIES TO SELL LIFE, DI, AND HEALTH INS. AS WELL AS BENEFIT PACKAGES TO SMALL TO MID-SIZE BUSINESS. INV REL. * ROBERT MEYER- 675 THIRD AVENUE SUITE 900, NY NY. SELLS LIFE, DI, HEALTH AND EMPLOYEE BENEFIT PACKAGES AS AGENT FOR SEVERAL INSURANCE COMPANIES AND M-GA'S. INV REL. 11/17/2000 *RISK MITIGATION STRATEGIES. 675 THIRD AVENUE SUITE 900, NY NY. INV REL. LIFE, HEALTH, ANNUITY INS. MANAGING DIRECTOR. NOV 2014. 160 HRS/MO. DURING TRADE HRS. *WEALTHBRIDGE FINANCIAL GROUP. 675 THIRD AVENUE SUITE 900, NY NY. INV REL. INSURANCE SALES. SALES AGENT. FEB 2015-CURRENT. 160 HRS/MO. 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
June 22, 2021 - May 14, 2024
EQUITY SERVICES, INC.
RIA
CRD#: 265
NEW YORK, NY
Past
November 29, 1990 - May 14, 2024
EQUITY SERVICES, INC.
BD
CRD#: 265
NEW YORK, NY
Past
February 4, 1985 - October 21, 1986
TNE INVESTMENT SERVICES CORPORATION
BD
CRD#: 14560
Past
June 19, 1983 - December 14, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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
RR
Series 2
Date: 2/28/1972
Non-Member General Securities ExaminationCurrent 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
