Stephen Sans
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.
Stephen Sans, who also goes by Stephen M Sans, Stephen Michael Sans, Stephen Michael Smolski, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
October 19, 2016 - December 31, 2018
EQUITY SERVICES, INC.
October 18, 2016 - December 31, 2018
EQUITY SERVICES, INC.
October 12, 2011 - March 4, 2016
AVANTAX ADVISORY SERVICES
September 9, 2011 - March 4, 2016
AVANTAX INVESTMENT SERVICES, INC.
May 28, 2009 - September 30, 2009
NFSG CORPORATION
April 29, 2009 - September 30, 2009
NEWBRIDGE SECURITIES CORPORATION
August 24, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2007 - June 22, 2007
LINDEN ASSET MANAGEMENT INC
August 24, 2006 - December 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 7, 2006 - December 19, 2006
AMERIPRISE FINANCIAL SERVICES, 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.
