Business Description

I strongly believe that all my efforts must always meet the Four Way Test of Rotary:
Is it the TRUTH?
Is it FAIR to all concerned?
Will it build GOODWILL and better FRIENDSHIPS?
Will it be BENEFICIAL to all concerned?

General Information

Gender:

Male

CRD#:

1144569

Firm CRD#:

265

Name of Broker/Dealer:

Equity Services, Inc.

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors

Education

Academic Background

BS, Biology and Chemistry - University of Memphis

Services

Investment Types:

Annuities, Mutual Funds, Alternative Investments, Mortgages & Real Estate, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®), Accredited Estate Planner (AEP)

Securities Licenses:

Series 7

Firm Information

Number of Advisors in Office:

10 - 99 employees

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$500,000

Compensation Methods:

Flat Fee, Based on Assets, Commissions

Fee % Based on Assets:

1.5%

Additional Details on Charges:

Fees are based on total assets under management. The more under management, the less the fees.

Prepared By:

Carl E. Rogers, Jr.