Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS1994 - 1994 (<1 year)2 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2006 (3 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2012 - 2020 (7 years)2 FIRMS2021 - Present (3 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2020 - 2021 (1 year)B1ST DISCOUNT BROKERAGE, INC. (CRD# 39164)2009 - 2012 (3 years)BJWGENESIS SECURITIES, INC. (CRD# 33832)1994 - 2001 (6 years)BTHOMAS JAMES ASSOCIATES, INC. (CRD# 15609)1993 - 1994 (<1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2021 - 2021 (<1 year)IA1ST DISCOUNT BROKERAGE, INC. (CRD# 39164)2011 - 2012 (1 year)
Disclosure(s)
View By:
6/22/2015
Customer Dispute
Settled
7/16/2012
Customer Dispute
Settled
10/4/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Florida 7/19/2021
B
New York 7/20/2021
B
Nevada 7/26/2021
IA
New York 8/12/2021
B
New Jersey 7/21/2021
B
Wisconsin 7/21/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ESI FINANCIAL ADVISORS (CRD#:265)
CAZENOVIA, NY
Registered with this firm since 8/12/2021
B
EQUITY SERVICES, INC. (CRD#:265)
CAZENOVIA, NY
Registered with this firm since 7/16/2021
Previous Registration(s)
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IA
 04/22/2021 - 07/14/2021 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Fayetteville, NY
B
 03/18/2020 - 07/14/2021 PRUCO SECURITIES, LLC. (CRD#:5685) Fayetteville, NY
IA
 07/17/2012 - 03/17/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) Fayetteville, NY
B
 07/17/2012 - 03/17/2020 FIRST ALLIED SECURITIES, INC. (CRD#:32444) FAYETTEVILLE, NY
B
 05/15/2009 - 07/20/2012 1ST DISCOUNT BROKERAGE, INC. (CRD#:39164) CAZENOVIA, NY
IA
 01/11/2011 - 06/29/2012 1ST DISCOUNT BROKERAGE, INC. (CRD#:39164) CAZENOVIA, NY
IA
 04/28/2008 - 02/20/2009 SAXONY CAPITAL MANAGEMENT, LLC (CRD#:122692) NORTH BAY VILLAGE, FL
B
 04/29/2008 - 02/20/2009 SAXONY SECURITIES, INC. (CRD#:115547) NORTH BAY VILLAGE, FL
IA
 02/05/2003 - 05/10/2006 SUMMIT FINANCIAL GROUP INC (CRD#:109485) BOCA RATON, FL
B
 02/03/2003 - 05/10/2006 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) BOCA RATON, FL
IA
 01/02/2001 - 02/18/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) BOCA RATON, FL
B
 01/02/2001 - 02/18/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) ST. LOUIS, MO
B
 09/30/1994 - 01/02/2001 JWGENESIS SECURITIES, INC. (CRD#:33832) BOCA RATON, FL
B
 03/24/1994 - 10/27/1994 D. BLECH & COMPANY, INCORPORATED (CRD#:26063) NEW YORK, NY
B
 09/26/1994 - 10/06/1994 JOSEPHTHAL LYON & ROSS INCORPORATED (CRD#:3227) NEW YORK, NY
B
 12/16/1993 - 03/04/1994 THOMAS JAMES ASSOCIATES, INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.