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Trey Turner Resigns from Equity Services

Trey Turner (CRD #: 4531215), a broker formerly registered with Equity Services, resigned from the firm, according to his BrokerCheck record, accessed on November 14, 2024. Read on if you want to know more about his alleged conduct as a broker.

Resignation from Equity Services

On October 4, 2024, Trey Turner resigned from Equity Services following an allegation that he possibly violated firm policies concerning unapproved advertising or web presence.

FINRA Rule 2210

FINRA Rule 2210 defines how firms and brokers are permitted to communicate with the public. Firms must approve retail communications before their publication, and some communications must be filed with FINRA’s Advertising Regulation Department.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Trey Turner has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

He previously worked for the following firms:

  • Equity Services (CRD#:265)
  • TransAmerica Financial Advisors (CRD#:16164)
  • World Group Securities (CRD#:114473)

Kurta Law Can Help

If you worked with Trey Turner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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