Franklin R. Peck
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Franklin Rodger Peck was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1984. Franklin had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - May 11, 2016
EQUINOX SECURITIES, INC.
January 9, 2012 - October 17, 2012
FINANCIAL WEST GROUP
September 22, 2009 - January 4, 2010
STONEHURST SECURITIES, INC.
December 20, 2006 - October 2, 2007
EPLANNING SECURITIES, INC.
November 5, 2001 - December 31, 2004
THE LEADERS GROUP, INC.
May 1, 2001 - September 12, 2001
THE LEADERS GROUP, INC.
October 31, 1994 - May 4, 2001
PFS INVESTMENTS INC.
February 1, 1984 - November 4, 1992
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EQUINOX SECURITIES, INC.
CRD#: 145790 / SEC#: , 8-67752
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUINOX CAPITAL HOLDINGS, INC. | OWNER | |
| OLIVEIRA, STEPHEN MICHAEL | PRESIDENT/CFO/CCO/MSRB/AMLCO | 1880054 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
