Rex A. Emery
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.
Rex A Emery, who also goes by Rex Emery, was a registered financial professional .
Rex is a previously registered financial professional and started their career in finance in 1983. Rex had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 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
February 2, 2010 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
October 5, 2007 - December 31, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 18, 2006 - October 1, 2007
ON INVESTMENT MANAGEMENT CO
February 22, 2006 - October 1, 2007
THE O.N. EQUITY SALES COMPANY
March 22, 2004 - January 27, 2006
PRUCO SECURITIES, LLC.
June 15, 1983 - January 27, 2006
PRUCO SECURITIES, LLC.
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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