Hector A. Palacios
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.
Hector Alcides Palacios, who also goes by Hector A Palacios, was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 2003. Hector had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2013 - April 7, 2020
STANCORP EQUITIES, INC.
December 13, 2012 - April 10, 2020
STANCORP INVESTMENT ADVISERS, INC.
July 23, 2012 - October 24, 2012
ADP BROKER-DEALER, INC.
July 20, 2011 - April 11, 2012
STANCORP INVESTMENT ADVISERS, INC.
July 12, 2011 - April 11, 2012
STANCORP EQUITIES, INC.
March 9, 2011 - June 14, 2011
TRANSAMERICA INVESTORS SECURITIES, LLC
June 6, 2007 - March 3, 2011
SAGEVIEW ADVISORY GROUP, LLC
April 26, 2007 - November 12, 2010
CETERA WEALTH SERVICES, LLC
February 15, 2006 - April 10, 2007
PRINCIPAL SECURITIES, INC.
January 4, 2006 - April 10, 2007
PRINCIPAL SECURITIES, INC.
September 1, 2004 - June 3, 2005
WAMU INVESTMENTS, INC.
September 1, 2004 - June 3, 2005
WAMU INVESTMENTS, INC.
January 30, 2004 - August 27, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 12, 2004 - August 27, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 1, 2003 - January 6, 2004
WAMU INVESTMENTS, INC.
February 28, 2003 - June 10, 2003
CITICORP INVESTMENT SERVICES
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
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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