Robert K. Oshel
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.
Robert Keith Oshel, who also goes by Bob Oshel, Robert K Oshel, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 63, Series 7, Series 22 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
September 5, 2012 - April 1, 2013
THE O.N. EQUITY SALES COMPANY
April 9, 2009 - November 5, 2010
PARK AVENUE SECURITIES LLC
April 16, 2008 - March 18, 2009
PRINCIPAL SECURITIES, INC.
November 7, 2006 - May 1, 2007
MML INVESTORS SERVICES, LLC
July 20, 2006 - November 27, 2006
NYLIFE SECURITIES LLC
February 1, 1995 - May 22, 1997
THE O.N. EQUITY SALES COMPANY
March 24, 1993 - December 31, 1994
G. R. PHELPS & CO., INC.
October 16, 1990 - February 3, 1993
OPPENHEIMER & CO. INC.
August 6, 1986 - October 16, 1990
G. R. PHELPS & CO., INC.
February 26, 1986 - July 31, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1985 - October 16, 1990
G. R. PHELPS & CO., INC.
June 4, 1984 - March 31, 1986
G. R. PHELPS & CO., INC.
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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