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CP

Chris B. Palkowitsh

Some features on this profile are disabled
CRD#: 3090435
CP

Professional summary

Chris Blaine Palkowitsh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chris is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Chris had worked at 7 firms, which includes EQUINOX SECURITIES INC., ZECCO TRADING INC., STERLING FINANCIAL INVESTMENT GROUP INC., FINANCIAL WEST GROUP, OSAIC WEALTH INC., BOLTON GLOBAL CAPITAL, MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 30, 2008 - August 2, 2013

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA
Past

September 16, 2005 - May 8, 2008

ZECCO TRADING, INC.

BD
CRD#: 135398
ONTARIO, CA
Past

June 10, 2004 - September 19, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

November 19, 2002 - June 14, 2004

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

November 6, 2002 - November 19, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

May 13, 2002 - May 14, 2002

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

July 6, 2001 - November 27, 2002

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
BOLTON, MA
Past

December 10, 1998 - June 4, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 65
Date: 1/26/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 1/30/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/1998
General Securities Representative 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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