Syed S. Hasan
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.
Syed Shahid Hasan, who also goes by Syed Shahid Hasas, was a registered financial professional .
Syed is a previously registered financial professional and started their career in finance in 1995. Syed had worked at 9 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 26 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
August 12, 2022 - November 15, 2023
EQUITY SERVICES, INC.
January 14, 2019 - August 11, 2020
EQUITY SERVICES, INC.
June 26, 2014 - June 20, 2017
AMERITAS INVESTMENT COMPANY, LLC
August 12, 2008 - July 5, 2012
AMERITAS INVESTMENT COMPANY, LLC
December 6, 2006 - June 3, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 3, 2005 - December 15, 2006
PARK AVENUE SECURITIES LLC
March 5, 2002 - July 6, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 5, 2001 - February 4, 2002
1717 CAPITAL MANAGEMENT COMPANY
November 22, 2000 - February 22, 2001
MONY SECURITIES CORPORATION
October 15, 1998 - November 29, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 15, 1998 - November 29, 2000
MSI FINANCIAL SERVICES, INC.
March 22, 1995 - October 8, 1998
THE ADVISORS GROUP, 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: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
