Ethan D. Gilmore
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.
Ethan David Gilmore was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2004. Ethan had worked at 3 firms and has passed the Series 66, 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
December 10, 2014 - November 30, 2015
EQUINOX SECURITIES, INC.
November 29, 2010 - December 21, 2012
EQUINOX SECURITIES, INC.
May 10, 2008 - October 29, 2008
EQUINOX SECURITIES, INC.
July 16, 2005 - May 8, 2008
ZECCO TRADING, INC.
June 22, 2004 - June 17, 2005
CAPSTONE INVESTMENTS
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.
