Robert W. Gastel
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.
Robert Wilbert Gastel, who also goes by Bob Gastel, Robert W Gastel Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, PC, Series 7, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2014 - June 28, 2016
EQUINOX SECURITIES, INC.
December 22, 2012 - May 11, 2016
EQUINOX SECURITIES, INC.
June 18, 2010 - February 15, 2013
HAYDEN STONE & CO., LLC
March 6, 2009 - March 31, 2010
GUNNALLEN FINANCIAL, INC
March 6, 2009 - March 31, 2010
GUNNALLEN FINANCIAL, INC
July 1, 2003 - March 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 11, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1977 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
June 24, 1976 - August 27, 1976
BACHE & CO INCORPORATED
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 15
Date: 3/8/1983
Foreign Currency Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamCurrent 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.
