Nathan S. Pendleton
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.
Nathan Smith Pendleton IV was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1994. Nathan had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2008 - December 2, 2015
EQUINOX SECURITIES, INC.
August 2, 2006 - May 8, 2008
ZECCO TRADING, INC.
January 12, 2001 - August 3, 2004
INVESTORS CAPITAL CORP.
December 20, 1999 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
October 1, 1997 - December 31, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
October 4, 1996 - October 1, 1997
USLIFE EQUITY SALES CORP.
March 28, 1994 - August 12, 1995
UBS FINANCIAL SERVICES 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.
