Trisha M. Weiner
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.
Trisha Mattu Weiner, who also goes by Patricia Mattu Weiner, Trisha M Weiner, Trisha Weiner, was a registered financial professional .
Trisha is a previously registered financial professional and started their career in finance in 1984. Trisha had worked at 5 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2009 - November 7, 2017
THE O.N. EQUITY SALES COMPANY
June 14, 2007 - July 20, 2017
AUGUSTAR DISTRIBUTORS, INC.
December 8, 1998 - June 14, 2007
THE O.N. EQUITY SALES COMPANY
May 10, 1996 - February 18, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 8, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 8, 1991 - February 9, 1995
PRUCO SECURITIES, LLC.
October 2, 1984 - February 4, 1988
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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Check for any disclosures as part of your thorough research when choosing an advisor.
