Larry D. Risley
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.
Larry Dean Risley, who also goes by Riz Risley, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 5 firms and has passed the Series 63, 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
March 23, 1999 - May 1, 2020
THE O.N. EQUITY SALES COMPANY
March 1, 1996 - February 26, 1999
MML INVESTORS SERVICES, LLC
February 7, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
April 29, 1992 - January 13, 1995
IFG NETWORK SECURITIES, INC.
September 18, 1991 - May 20, 1992
DERAND/PENNINGTON/BASS, INC.
January 4, 1991 - September 12, 1991
G. R. PHELPS & CO., INC.
August 16, 1983 - September 12, 1991
G. R. PHELPS & CO., 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
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