Madeleine G. Burroughs
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.
Madeleine Garcia Burroughs, who also goes by Madeleine E. Garcia, was a registered financial professional .
Madeleine is a previously registered financial professional and started their career in finance in 1995. Madeleine had worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2017 - October 22, 2018
EQUITY SERVICES, INC.
June 7, 2017 - October 22, 2018
EQUITY SERVICES, INC.
July 14, 2016 - April 12, 2017
FIRST COMMAND ADVISORY SERVICES
June 9, 2015 - April 12, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
January 4, 2013 - October 4, 2013
PRUCO SECURITIES, LLC.
September 13, 2012 - January 2, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
October 5, 2010 - August 20, 2012
SIGNATOR FINANCIAL SERVICES, INC.
February 10, 2010 - October 1, 2010
KESTRA INVESTMENT SERVICES, LLC
August 23, 2005 - February 5, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
November 13, 2003 - August 11, 2005
TOWER SQUARE SECURITIES, INC.
November 14, 2002 - September 29, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 13, 2002 - September 29, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 11, 2002 - November 15, 2002
P.J. ROBB VARIABLE, LLC
July 20, 2001 - December 11, 2001
TOWER SQUARE SECURITIES, INC.
June 7, 1995 - June 20, 2001
CITIGROUP GLOBAL MARKETS 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.
