Lonnie V. Harkey
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.
Lonnie Vernon Harkey, who also goes by Lonn Harkey, was a registered financial professional .
Lonnie is a previously registered financial professional and started their career in finance in 1987. Lonnie had worked at 4 firms and has passed the Series 63 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
June 2, 2010 - February 4, 2014
THE O.N. EQUITY SALES COMPANY
January 29, 2007 - May 3, 2010
NYLIFE SECURITIES LLC
May 27, 1987 - July 21, 2006
METROPOLITAN LIFE INSURANCE COMPANY
May 27, 1987 - July 24, 2006
MSI FINANCIAL SERVICES, 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.
