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CRD#: 309955
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

UNEST SECURITIES, LLC is located at 221 S. 2nd Street, Laramie, WY 82070 and was first established at Denver, Delaware in 06/22/2020. After operating for 5 years, UNEST SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of UNEST SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. UNEST SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at UNEST SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access UNEST SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at UNEST SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for UNEST SECURITIES, LLC Comes From

Understanding the Statistics for UNEST SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
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HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
221 S. 2nd Street, Laramie, WY 82070
Mailing Address
221 S. 2nd Street, Laramie, WY 82070
Firm Size
Small
Phone Number
(818) 275-0041
Established
Delaware since 06/22/2020
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
UNEST HOLDINGS, INCPARENT COMPANY
FINCH, CHARLES LYNNCHIEF COMPLIANCE OFFICER/CEO2326757
MATTERA, RICHARD JOSEPHFINANCE AND OPERATIONS PRINCIPAL2246513

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

How Do I Determine Which Firm to Work With?

Advisor's working at UNEST SECURITIES, LLC

RM

Richard Mattera

Richard Joseph Mattera
RR
CRD#: 2246513
Location:
New York, NY 10170
Company:
TERRANOVA CAPITAL EQUITIES, INC
Disclosures:
Experience:
34 years
WT

William Leslie Thatcher

Bill Thatcher, Will Thatcher
RR
CRD#: 2564782
Location:
New York, NY 10120
Company:
FIN2
Disclosures:
Experience:
26 years
CF

Charles Lynn Finch

Chuck Finch
RR
CRD#: 2326757
Location:
Laramie, WY 82070
Company:
UNEST SECURITIES, LLC
Disclosures:
Experience:
33 years
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