David J. Jamison
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.
David J Jamison, CFP®, who also goes by David James Jamison, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 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
Start date: 2001
Experience
March 16, 2018 - February 6, 2019
EQUITY SERVICES, INC.
March 16, 2018 - February 6, 2019
EQUITY SERVICES, INC.
August 22, 2016 - December 31, 2016
CAPITAL SYNERGY PARTNERS
August 22, 2016 - December 31, 2016
CAPITAL SYNERGY PARTNERS
July 12, 2013 - September 29, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 12, 2013 - September 29, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 19, 2011 - June 17, 2013
USAA FINANCIAL PLANNING SERVICES
July 19, 2011 - June 17, 2013
USAA FINANCIAL ADVISORS, INC.
March 9, 2010 - May 18, 2011
CADARET, GRANT & CO., INC.
June 23, 2004 - November 5, 2007
VANGUARD MARKETING CORPORATION
September 28, 1999 - April 20, 2001
WALNUT STREET SECURITIES, INC.
October 5, 1998 - September 30, 1999
INVESTACORP, INC.
May 18, 1994 - October 3, 1996
SECURITIES AMERICA, 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.
