Kevin J. Cougle
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.
Kevin John Cougle was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1992. Kevin had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 26 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2024 - August 18, 2025
EQUITY SERVICES, INC.
April 11, 2024 - July 10, 2024
CADARET, GRANT & CO., INC.
August 29, 2022 - April 12, 2024
PRUCO SECURITIES, LLC.
January 3, 2022 - August 26, 2022
CADARET, GRANT & CO., INC.
March 21, 2019 - December 31, 2021
CADARET, GRANT & CO., INC.
September 26, 2017 - August 7, 2018
ALLSTATE FINANCIAL SERVICES, LLC
August 6, 2014 - March 29, 2017
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 20, 2004 - May 11, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 11, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 5, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 22, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 12, 1995 - August 27, 2003
HSBC BROKERAGE (USA) INC.
January 11, 1995 - June 28, 1995
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 9, 1994 - September 16, 1994
WALL STREET FINANCIAL GROUP, INC.
April 8, 1993 - March 10, 1994
MAIN STREET MANAGEMENT COMPANY
August 24, 1992 - March 31, 1993
FORESTERS FINANCIAL 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
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.
