David A. Morin
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.
David Anthony Morin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 6 firms and has passed the SIE 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
November 19, 2010 - December 31, 2021
THE O.N. EQUITY SALES COMPANY
October 6, 2000 - November 22, 2010
SUNSET FINANCIAL SERVICES, INC.
April 27, 1983 - May 7, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 27, 1983 - May 13, 1987
EQUITABLE ADVISORS, LLC
April 27, 1983 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 27, 1983 - October 22, 1999
SIGNATOR INVESTORS, INC.
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
