Michael A. Colkitt
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.
Michael A Colkitt, who also goes by Michael Angelo Colkitt, Michael Colkitt, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2017 - September 4, 2024
EQUITY SERVICES, INC.
November 6, 2017 - September 4, 2024
EQUITY SERVICES, INC.
February 16, 2016 - October 17, 2017
PRUCO SECURITIES, LLC.
January 27, 2016 - October 17, 2017
PRUCO SECURITIES, LLC.
January 13, 2014 - December 22, 2015
EAGLE STRATEGIES LLC
July 16, 2010 - December 17, 2015
NYLIFE SECURITIES LLC
September 12, 2008 - August 7, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 13, 2008 - August 6, 2009
LPL FINANCIAL LLC
March 13, 2008 - August 6, 2009
LPL FINANCIAL LLC
January 14, 2003 - March 19, 2008
IFMG SECURITIES, INC.
August 3, 1998 - March 19, 2008
IFMG SECURITIES, INC.
May 13, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
April 1, 1996 - May 7, 1998
IFMG SECURITIES, INC.
October 26, 1993 - April 2, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 26, 1993 - April 2, 1996
OSAIC FA, INC.
July 16, 1992 - October 26, 1993
PFS INVESTMENTS 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.
