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MD

Michael L. Dial

THE O.N. EQUITY SALES COMPANY
Naperville, IL
Some features on this profile are disabled
CRD#: 1201306
MD

Professional summary

Michael Lino Dial, CFP®, who also goes by Mike Lino Dial, Mike Dial, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Naperville, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Lino Dial | Mike Dial

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Lino Dial's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

January 11, 2017 - Present

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Naperville, IL
Past

March 9, 2007 - January 6, 2017

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
YORKVILLE, IL
Past

February 7, 2006 - February 2, 2007

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
NAPERVILLE, IL
Past

December 6, 2005 - February 2, 2007

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
NAPERVILLE, IL
Past

October 29, 2004 - December 15, 2005

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
NAPERVILLE, IL
Past

January 8, 2004 - December 15, 2005

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

March 12, 2002 - December 31, 2003

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

November 18, 1999 - March 9, 2002

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

August 26, 1998 - November 17, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 26, 1998 - November 17, 1999

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 8, 1998 - January 4, 1999

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

September 19, 1996 - December 16, 1997

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

September 1, 1993 - September 30, 1996

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

October 19, 1983 - September 1, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

October 19, 1983 - September 1, 1993

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/24/2017)
RR
Florida
(6/3/2024)
RR
Illinois
(1/12/2017)
RR
Iowa
(3/13/2024)
RR
Texas
(1/11/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 10/16/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/18/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/27/2000
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TO
THE O.N. EQUITY SALES COMPANY
THE O.N. EQUITY SALES COMPANY

CRD#: 2936 / SEC#: , 8-14161

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(513) 794-6794
Established
Ohio since 08/22/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299
WESTBROCK, NANCY MCHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER5637288

Disclosures

Regulatory Event7
Arbitration2

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.

Company Information

THE O.N. EQUITY SALES COMPANY

CRD#: 2936Naperville, IL

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