Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ANTHONY ARGUELLES TRIAS
Anthony Trias
CRD#: 4702898
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 165 NORTH REDWOOD DRIVE
#100
SAN RAFAEL, CA 94903
#100
SAN RAFAEL, CA 94903
View By:
4/12/2017
Financial
Final
State Registrations
B
California 10/3/2017
IA
New York 5/18/2021
IA
California 10/4/2017
B
Oregon 3/5/2021
B
Florida 12/11/2023
IA
Oregon 3/12/2021
IA
Florida 12/11/2023
B
Texas 2/28/2020
B
Hawaii 3/10/2021
IA
Texas 3/9/2020
IA
Hawaii 3/24/2021
B
Utah 3/11/2021
B
Nevada 7/10/2024
IA
Utah 3/16/2021
B
New Hampshire 3/2/2021
B
Virginia 1/7/2021
IA
New Hampshire 3/4/2021
IA
Virginia 1/8/2021
B
New Jersey 1/7/2021
B
Washington 7/19/2024
IA
New Jersey 1/13/2021
IA
Washington 7/19/2024
B
New York 5/21/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/4/2017
B
Registered with this firm since 10/3/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/2016 - 09/15/2017 | SAN FRANCISCO, CA | |
B | 08/19/2016 - 09/15/2017 | SAN FRANCISCO, CA | |
IA | 02/26/2016 - 07/29/2016 | SAN FRANCISCO, CA | |
B | 02/16/2016 - 06/28/2016 | SAN FRANCISCO, CA | |
IA | 02/17/2016 - 03/08/2016 | SAN FRANCISCO, CA | |
IA | 07/17/2012 - 02/17/2016 | SAN FRANCISCO, CA | |
B | 10/06/2009 - 02/17/2016 | SAN FRANCISCO, CA |
SAN FRANCISCO, CA
08/19/2016 - 09/15/2017
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.