Spencer Meirowitz
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.
Spencer Meirowitz, who also goes by Spencer David Meirowitz, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1988. Spencer had worked at 17 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2019 - December 31, 2022
EQUITY SERVICES, INC.
February 6, 2017 - November 14, 2017
EQUITY SERVICES, INC.
June 3, 2013 - February 13, 2015
MML INVESTORS SERVICES, LLC
August 10, 2009 - July 20, 2012
PARK AVENUE SECURITIES LLC
August 4, 2005 - November 8, 2007
PARK AVENUE SECURITIES LLC
June 23, 2003 - August 12, 2003
NEW ENGLAND SECURITIES
June 24, 1996 - July 13, 2001
SCHONFELD SECURITIES, LLC
April 7, 1995 - June 22, 1995
SUNPOINT SECURITIES, INC.
February 9, 1995 - April 10, 1995
CAPITAL SECURITIES OF AMERICA, INC.
January 28, 1994 - November 10, 1994
BARRETT DAY SECURITIES, INC.
June 30, 1993 - October 30, 1993
CAMELOT INVESTMENT CORP.
May 27, 1992 - September 22, 1992
LEHMAN BROTHERS INC.
September 16, 1991 - June 23, 1992
FIRST ASSET MANAGEMENT, INC.
May 23, 1991 - September 12, 1991
CHATFIELD DEAN & CO., INC.
April 24, 1989 - June 20, 1989
W.J. NOLAN & COMPANY, INC.
December 6, 1988 - December 21, 1989
J F LOWE & COMPANY INCORPORATED
November 9, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
October 19, 1988 - October 29, 1988
INVESTORS CENTER, INC.
October 19, 1988 - November 16, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 11/27/1999
Limited Representative-Equity Trader ExamCurrent 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.
