James T. Hovey
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.
James Theodore Hovey, who also goes by Jim Hovey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 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
October 8, 2014 - November 20, 2014
THE O.N. EQUITY SALES COMPANY
July 21, 2009 - October 1, 2012
NEW ENGLAND SECURITIES
January 1, 2008 - July 27, 2009
AUTO CLUB FUNDS, INC.
May 15, 2003 - December 16, 2005
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 14, 1996 - March 14, 2003
NYLIFE SECURITIES LLC
February 9, 1996 - May 28, 1996
LOCUST STREET SECURITIES, INC.
November 26, 1993 - December 31, 1995
OSAIC FS, INC.
January 11, 1993 - November 2, 1993
MARINER FINANCIAL SERVICES, INC.
February 23, 1984 - November 4, 1991
NYLIFE 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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