Thomas D. Renison

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CRD#: 1863759

Professional summary

Thomas David Renison was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Thomas had worked at 8 firms, which includes EQUITY SERVICES INC., SECURITIES SERVICE NETWORK LLC, INDEPENDENT ADVISERS GROUP CORP, OSAIC FS INC., LPL FINANCIAL LLC, G.R. STUART & COMPANY INC., FINANCIAL SECURITIES NETWORKINC., UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas D Renison | Thomas Renison

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

January 29, 2009 - May 13, 2010

EQUITY SERVICES, INC.

CRD#: 265

HARTFORD, CT

Past

January 21, 2009 - May 13, 2010

EQUITY SERVICES, INC.

RIA

CRD#: 265

HARTFORD, CT

Past

March 5, 2008 - May 21, 2008

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

HARTFORD, CT

Past

October 3, 2001 - November 19, 2003

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

GLASTONBURY, CT

Past

May 5, 2000 - March 6, 2008

OSAIC FS, INC.

RIA

CRD#: 3870

HARTFORD, CT

Past

February 27, 1999 - March 6, 2008

OSAIC FS, INC.

CRD#: 3870

HARTFORD, CT

Past

June 11, 1998 - March 11, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 16, 1993 - May 13, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 16, 1993 - September 1, 1993

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

October 23, 1992 - March 16, 1993

FINANCIAL SECURITIES NETWORK,INC.

CRD#: 16153

Past

October 26, 1990 - June 9, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

State Security Law Exam

IAR

Series 65

Date: 9/23/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/20/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/24/1990

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/10/1988

National Commodity Futures 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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Firm Stability Insights

Thomas D. Renison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITY SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC FS, INC.

LPL FINANCIAL LLC

OSAIC FS, INC.

G.R. STUART & COMPANY, INC.

FINANCIAL SECURITIES NETWORK,INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1997

Series 63

Date: 11/20/1990

Series 7

Date: 10/24/1990

Series 3

Date: 11/10/1988

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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