Hilliard S. Mabry
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.
Hilliard S. Mabry JR, who also goes by H. Steve Mabry Jr., H. Steve Mabry, H. Stevens Mabry Jr., H. Stevens Mabry, Hilliard S Mabry, Hilliard Stevens Mabry, Hilliard Mabry, Steve Mabry Jr, Steve Mabry, Hilliard S. Mabry Jr, was a registered financial professional .
Hilliard is a previously registered financial professional and started their career in finance in 2006. Hilliard had worked at 5 firms and has passed the Series 66, SIE, Series 7 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
January 24, 2022 - June 20, 2023
EQUITY SERVICES, INC.
January 24, 2022 - June 20, 2023
EQUITY SERVICES, INC.
May 31, 2016 - January 31, 2022
PRUCO SECURITIES, LLC.
May 27, 2016 - January 31, 2022
PRUCO SECURITIES, LLC.
February 14, 2014 - May 31, 2016
EQUITY SERVICES, INC.
February 13, 2014 - May 31, 2016
EQUITY SERVICES, INC.
November 1, 2012 - January 24, 2014
ONEAMERICA SECURITIES, INC.
October 31, 2012 - January 24, 2014
ONEAMERICA SECURITIES, INC.
January 30, 2012 - September 28, 2012
MSI FINANCIAL SERVICES, INC.
September 6, 2011 - September 28, 2012
MSI FINANCIAL SERVICES, INC.
March 21, 2007 - September 19, 2011
EQUITABLE ADVISORS, LLC
December 4, 2006 - September 19, 2011
EQUITABLE ADVISORS, 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.
