Owen F. Haugh
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.
Owen Francis Haugh, who also goes by Owen Haugh, was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1985. Owen had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2015 - May 21, 2015
THE O.N. EQUITY SALES COMPANY
January 7, 2013 - February 15, 2013
NATIONAL SECURITIES CORPORATION
August 20, 2010 - December 17, 2012
SUNSET FINANCIAL SERVICES, INC.
November 19, 2009 - June 22, 2010
HORNOR, TOWNSEND & KENT, LLC
October 25, 2007 - November 20, 2009
EQUITABLE ADVISORS, LLC
May 21, 2007 - November 20, 2009
EQUITABLE ADVISORS, LLC
May 23, 2005 - April 13, 2007
RBC CAPITAL MARKETS CORPORATION
October 1, 2000 - May 18, 2005
Z&Z SECURITIES INC.
September 5, 1996 - June 2, 1997
MF GLOBAL INC.
January 18, 1995 - August 28, 1996
COWEN AND COMPANY
July 21, 1992 - November 29, 1993
ADLER COLEMAN & CO., INC.
January 13, 1987 - December 4, 1990
MABON, NUGENT & CO.
April 23, 1985 - December 8, 1986
DAIN RAUSCHER INCORPORATED
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
Series 25
Date: 10/9/2003
NYSE Trading Assistant ExaminationCurrent 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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