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LS

Lee R. Sobel

Some features on this profile are disabled
CRD#: 2232865
LS

Professional summary

Lee Robert Sobel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lee is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Lee had worked at 8 firms, which includes EQUINOX SECURITIES INC., SPECTRUM SECURITIES INC., WELLINGTON ASHFORD CAPITAL INC., EQUITY FINANCIAL SERVICES COMPANY, BUTTONWOOD SECURITIES INC., CETERA WEALTH SERVICES LLC, WS CLEARING INC., DIRECT EQUITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Reynolds

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 12, 2013 - August 16, 2013

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA
Past

May 8, 1997 - December 4, 1997

SPECTRUM SECURITIES, INC.

BD
CRD#: 29305
AROURA HILLS, CA
Past

February 20, 1995 - May 2, 1996

WELLINGTON ASHFORD CAPITAL, INC.

BD
CRD#: 29298
LOUISVILE, CO
Past

January 10, 1995 - April 24, 1995

EQUITY FINANCIAL SERVICES COMPANY

BD
CRD#: 35043
LOS ANGELES, CA
Past

September 16, 1993 - February 8, 1994

BUTTONWOOD SECURITIES, INC.

BD
CRD#: 18420
NEW YORK, NY
Past

September 10, 1992 - February 20, 1993

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

July 22, 1992 - August 28, 1992

WS CLEARING, INC.

BD
CRD#: 28537
GLENDALE, CA
Past

May 13, 1992 - July 7, 1992

DIRECT EQUITIES, INC.

BD
CRD#: 22538

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 3/11/2013
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 8/13/1997
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/21/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/8/1994
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 10/20/1993
Direct Participation Programs Principal Examination

Current Firm

ES
EQUINOX SECURITIES, INC.
EQUINOX SECURITIES, INC.

CRD#: 145790 / SEC#: , 8-67752

BD
Cancelled by SEC on 09/28/2017
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Contact information

Main Address
1776 Park Ave., Suite 101, Redlands, CA 92374
Mailing Address
Phone number
Established
California since 09/24/2007
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
EQUINOX CAPITAL HOLDINGS, INC.OWNER
OLIVEIRA, STEPHEN MICHAELPRESIDENT/CFO/CCO/MSRB/AMLCO1880054

Disclosures

Regulatory Event2

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.

Company Information

EQUINOX SECURITIES, INC.

CRD#: 145790

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