Esther B. Latham
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.
Esther Bernadette Latham, who also goes by Esther Bernadette Eddy, Esther Bernadette Keaton, was a registered financial professional .
Esther is a previously registered financial professional and started their career in finance in 2004. Esther had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2023 - December 31, 2024
EQUITY SERVICES, INC.
December 7, 2023 - December 31, 2024
EQUITY SERVICES, INC.
May 11, 2021 - January 10, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 17, 2021 - January 7, 2022
FIDELITY BROKERAGE SERVICES LLC
January 29, 2016 - March 25, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2016 - March 25, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2015 - January 25, 2016
PRUCO SECURITIES, LLC.
March 19, 2015 - January 25, 2016
PRUCO SECURITIES, LLC.
April 24, 2012 - March 20, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
April 20, 2012 - March 20, 2015
ALLSTATE FINANCIAL SERVICES, LLC
June 26, 2006 - April 9, 2012
MSI FINANCIAL SERVICES, INC.
May 18, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 18, 2006 - April 9, 2012
MSI FINANCIAL SERVICES, INC.
July 6, 2005 - January 10, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 10, 2006
CHASE INVESTMENT SERVICES CORP.
April 14, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 14, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 7, 2005 - February 14, 2005
IDS LIFE INSURANCE COMPANY
January 7, 2005 - February 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2004 - February 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2004 - November 8, 2004
WADDELL & REED
September 9, 2004 - November 8, 2004
WADDELL & REED
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.
