Anthony L. Gurino
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 L Gurino was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2000. Anthony had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 31 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
July 10, 2017 - April 3, 2018
EQUITY SERVICES, INC.
November 19, 2015 - November 9, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
November 3, 2015 - November 13, 2015
J.H. DARBIE & CO., INC.
October 1, 2011 - December 5, 2013
AMERITAS INVESTMENT COMPANY, LLC
July 19, 2010 - February 7, 2011
SIGNATOR INVESTORS, INC.
February 5, 2009 - July 13, 2010
NEW ENGLAND SECURITIES
April 17, 2008 - December 31, 2008
GAR WOOD SECURITIES, LLC
November 14, 2005 - April 20, 2006
BASIC INVESTORS INC.
October 1, 2003 - December 2, 2003
MILLENNIUM BROKERAGE, L.L.C.
May 23, 2001 - October 10, 2002
MORGAN STANLEY DW INC.
September 11, 2000 - May 23, 2001
GREAT EASTERN SECURITIES, 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 55
Date: 1/16/2003
Limited Representative-Equity Trader ExamCurrent 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.
