Anthony M. Sardis
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.
Anthony Michael Sardis, who also goes by Tony Sardis, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1997. Anthony had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2012 - October 31, 2014
EQUITY SERVICES, INC.
December 10, 2012 - October 31, 2014
EQUITY SERVICES, INC.
November 28, 2011 - December 18, 2012
ONEAMERICA SECURITIES, INC.
November 28, 2011 - December 18, 2012
ONEAMERICA SECURITIES, INC.
October 3, 2008 - November 11, 2011
OSAIC WEALTH, INC.
February 27, 2008 - November 11, 2011
OSAIC WEALTH, INC.
June 22, 2006 - March 21, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 2006 - March 21, 2007
MSI FINANCIAL SERVICES, INC.
June 20, 2002 - July 20, 2004
PRUCO SECURITIES, LLC.
July 3, 2001 - July 20, 2004
PRUCO SECURITIES, LLC.
September 19, 1997 - February 8, 1999
NEW ENGLAND SECURITIES
February 24, 1997 - October 13, 1997
MSI FINANCIAL SERVICES, INC.
February 24, 1997 - June 13, 2001
METROPOLITAN LIFE INSURANCE COMPANY
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.
