Bruce A. Whittaker
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.
Bruce Allen Whittaker was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1988. Bruce had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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
October 14, 2019 - October 29, 2019
EQUITY SERVICES, INC.
October 11, 2019 - October 29, 2019
EQUITY SERVICES, INC.
December 22, 2015 - October 27, 2017
EQUITABLE ADVISORS, LLC
December 22, 2015 - October 27, 2017
EQUITABLE ADVISORS, LLC
June 18, 2015 - December 14, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 17, 2015 - December 14, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 20, 2014 - August 18, 2014
SECURIAN FINANCIAL SERVICES, INC.
May 20, 2014 - August 18, 2014
SECURIAN FINANCIAL SERVICES, INC.
November 14, 2013 - May 8, 2014
DIVERSE FINANCIAL INVESTMENT ADVISORY GROUP
April 6, 2010 - June 5, 2013
KESTRA INVESTMENT SERVICES, LLC
March 9, 2010 - June 5, 2013
KESTRA INVESTMENT SERVICES, LLC
October 3, 1989 - June 9, 1993
IDS LIFE INSURANCE COMPANY
October 3, 1989 - June 9, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
May 10, 1989 - September 19, 1989
CETERA WEALTH SERVICES, LLC
August 17, 1988 - July 3, 1989
SECURIAN FINANCIAL SERVICES, INC.
February 17, 1988 - July 23, 1988
HORACE MANN INVESTORS, INC.
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.
