Allan J. Corby

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CRD#: 729285

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.

Allan Jeffrey Corby was a registered financial advisor .

Allan is a previously registered financial advisor and started their career in finance in 1981. Allan had worked at 8 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 30, 2009 - November 15, 2013

EQUITY SERVICES, INC.

CRD#: 265

NEW YORK, NY

Past

July 9, 2008 - October 5, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

December 1, 2006 - October 5, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 6, 2006 - December 5, 2006

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

NEW BRIGHTON, PA

Past

March 1, 1996 - January 13, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 6, 1994 - December 31, 1998

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

February 19, 1991 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

August 30, 1983 - May 18, 1987

MONY SECURITIES CORPORATION

CRD#: 4386

Past

April 29, 1981 - August 11, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

April 29, 1981 - August 11, 1983

EQUITABLE ADVISORS, LLC

CRD#: 6627

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 65

Date: 5/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/15/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/11/2010

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Allan J. Corby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

FORTUNE FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

NATHAN & LEWIS SECURITIES, INC.

G. R. PHELPS & CO., INC.

MONY SECURITIES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2007

Series 63

Date: 1/18/1991

Series 6

Date: 2/15/1991

Series 26

Date: 6/11/2010

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.

TRUST BUT VERIFY

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