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TH

Theodore D. Holt

EQUILIBRIUM CAPITAL SERVICES
PORTLAND, OR 97204
Some features on this profile are disabled
CRD#: 7307925
TH

Professional summary

Theodore Donald Holt, who also goes by Theodore Holt, is a registered financial professional currently at EQUILIBRIUM CAPITAL SERVICES, LLC located in Portland, Oregon.

Theodore is registered as a RR (Registered Representative) and started their career in finance in 2021. Theodore has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theodore Holt

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) - BD

Click below to view Theodore Donald Holt's CRS (Customer Relationship Summary).

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

Current

April 9, 2021 - Present

EQUILIBRIUM CAPITAL SERVICES, LLC

Office #1: 151 Sw 1st Avenue Suite 300, Portland, OR 97204
BD
CRD#: 155530
PORTLAND, OR

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Oregon
(4/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/9/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EQUILIBRIUM CAPITAL SERVICES, LLC
EQUILIBRIUM CAPITAL SERVICES, LLC

CRD#: 155530 / SEC#: , 8-68722

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
411 Nw Park Ave, Suite 401, Portland, OR 97209
Mailing Address
411 Nw Park Ave, Suite 401, Portland, OR 97209
Phone number
(971) 352-8440
Established
Oregon since 10/05/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
EQUILIBRIUM CAPITAL GROUP, LLCPARENT
HOLT, THEODORE DONALDPRESIDENT, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER7307925
MOYE, CELESTE WILLATFINOP & CFO6566618

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

EQUILIBRIUM CAPITAL SERVICES, LLC

CRD#: 155530Portland, OR 97204

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