Craig M. Hanenian
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.
Craig Michel Hanenian, ChFC®, CLU®, who also goes by Craig Michael Hanenian, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2002. Craig had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 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
April 5, 2017 - January 18, 2018
EQUITY SERVICES, INC.
February 24, 2016 - January 18, 2018
EQUITY SERVICES, INC.
May 27, 2014 - November 30, 2015
B. RILEY WEALTH ADVISORS, INC.
November 22, 2013 - November 30, 2015
NATIONAL SECURITIES CORPORATION
August 15, 2012 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
July 31, 2012 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
October 19, 2009 - December 10, 2010
MSI FINANCIAL SERVICES, INC.
July 15, 2009 - December 10, 2010
MSI FINANCIAL SERVICES, INC.
June 29, 2006 - July 7, 2009
MML INVESTORS SERVICES, LLC
May 5, 2005 - May 24, 2005
PRUCO SECURITIES, LLC.
May 3, 2002 - May 24, 2005
PRUCO SECURITIES, LLC.
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.
