Sharlene T. Mazza

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CRD#: 4946808

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.

Sharlene Tracy Mazza, who also goes by Sharlene Tracy Henderson, was a registered financial professional .

Sharlene is a previously registered financial professional and started their career in finance in 2005. Sharlene had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sharlene Tracy Henderson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 18, 2014 - May 24, 2023

EQUITY SERVICES, INC.

RIA

CRD#: 265

LOUISVILLE, CO

Past

September 17, 2014 - May 24, 2023

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

June 27, 2011 - June 20, 2013

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

COLUMBUS, OH

Past

June 27, 2011 - June 20, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

May 17, 2011 - June 6, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEWARK, DE

Past

January 30, 2009 - May 9, 2011

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

August 1, 2008 - May 10, 2011

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

NEWARK, DE

Past

February 12, 2008 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

NEWARK, DE

Past

December 5, 2005 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

May 25, 2005 - December 31, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

NEWARK, DE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EQUITY SERVICES, INC.

360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.

CRD#: 265 / SEC#: 801-41722, 8-14286

RIA

Registered Investment Advisory firm - SEC (7/9/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2005

General Securities Principal Examination

Current Firm

EQUITY SERVICES, INC.

360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.

CRD#: 265 / SEC#: 801-41722, 8-14286

RIA

Registered Investment Advisory firm - SEC (7/9/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One National Life Drive, Montpelier, VT 05604

Mailing Address

One National Life Drive, Montpelier, VT 05604

Phone number

(800) 344-7437

Established

Vermont since 10/07/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

470

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/4/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/2/2025)

ESI FORM ADV PART 2A (6/19/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI COMPASS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI DIRECTIONS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI ILLUMINATIONS) (3/28/2025)

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.

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Firm Stability Insights

Sharlene T. Mazza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITY SERVICES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

NATIONWIDE SECURITIES, LLC

Primary Firm SEC Registration

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2005

Series 24

Date: 12/29/2005

Current Firm

EQUITY SERVICES, INC.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EQUITY SERVICES, INC.

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