Thomas J. Gillespie
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.
Thomas Joseph Gillespie, who also goes by Thomas Gillespie, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2019 - December 31, 2020
EQUITY SERVICES, INC.
February 15, 2018 - December 31, 2020
EQUITY SERVICES, INC.
June 5, 2013 - December 5, 2014
EQUITY SERVICES, INC.
June 3, 2013 - December 5, 2014
EQUITY SERVICES, INC.
February 2, 2009 - January 2, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 23, 2009 - January 2, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 6, 2008 - November 4, 2008
U.S. FINANCIAL ADVISORS
June 6, 2008 - November 4, 2008
U.S. WEALTH ADVISORS, LLC.
June 26, 2006 - June 9, 2008
MATRIX U.S.A., LLC
August 24, 2005 - June 19, 2006
JESUP & LAMONT SECURITIES CORP
April 26, 2004 - August 24, 2005
CITIGROUP GLOBAL MARKETS INC.
April 23, 2004 - August 24, 2005
CITIGROUP GLOBAL MARKETS INC.
June 27, 2002 - April 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
February 28, 2000 - April 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
November 4, 1988 - March 14, 2000
SCHRODER & CO. INC.
February 5, 1988 - November 15, 1988
CIBC WORLD MARKETS CORP.
April 6, 1982 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
January 30, 1981 - March 23, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 18, 1980 - February 8, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 6/11/2024
General Securities Representative ExaminationCurrent 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 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DAVID, ALEX MARCUS | PRESIDENT & CEO | 2421489 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FOX, CARRIE ANN | VP, FINOP | 5715395 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| NELSON, BRIAN WILBUR | VP, BUSINESS DEVELOPMENT | 3082595 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| PARRISH, SPENCER TODD | VP, PRINCIPAL FINANCIAL OFFICER AND TREASURER | 4125651 |
| 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.
