Curtis B. Mccullom
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.
Curtis Buren Mccullom, CFP® was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1991. Curtis had worked at 11 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2018 - February 4, 2019
EQUITY SERVICES, INC.
January 9, 2018 - February 4, 2019
EQUITY SERVICES, INC.
February 10, 2015 - December 26, 2017
PRUCO SECURITIES, LLC.
October 25, 2014 - December 26, 2017
PRUCO SECURITIES, LLC.
July 6, 2006 - June 27, 2007
MADISON AVENUE ADVISORS, INC.
July 6, 2006 - June 27, 2007
MADISON AVENUE SECURITIES, LLC
January 4, 2006 - June 16, 2006
USALLIANZ SECURITIES, INC.
July 13, 2005 - July 11, 2006
USALLIANZ SECURITIES, INC.
September 10, 2003 - September 15, 2004
USALLIANZ SECURITIES, INC.
December 10, 2002 - September 5, 2003
ALLSTATE FINANCIAL SERVICES, LLC
January 29, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - December 11, 2002
WAMU INVESTMENTS, INC.
March 28, 1997 - July 14, 1997
ASB FINANCIAL SERVICES
March 15, 1996 - April 2, 1997
LOCUST STREET SECURITIES, INC.
July 21, 1993 - March 31, 1994
PRUCO SECURITIES, LLC.
May 20, 1991 - July 7, 1993
FORESTERS EQUITY SERVICES, 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
Series 7TO
Date: 10/17/2018
General Securities Representative ExaminationCurrent 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.
