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DM

David I. Martinez

THE O.N. EQUITY SALES COMPANY
Laredo, TX 78041
Some features on this profile are disabled
CRD#: 1374419
DM

Professional summary


David Isidro Martinez is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Laredo, Texas.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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 David Isidro Martinez'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®
None

Experience


Current

February 6, 2004 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: 6414 Mcpherson Road Suite 7, Laredo, TX 78041
BD
CRD#: 2936
Laredo, TX
Past

June 18, 1998 - February 11, 2004

WS GRIFFITH SECURITIES, INC.

RIA
CRD#: 10410
LAREDO, TX
Past

June 18, 1998 - February 11, 2004

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

June 30, 1993 - June 26, 1998

OMEGA SECURITIES, INC.

BD
CRD#: 7164
FORT WORTH, TX
Past

August 20, 1992 - June 21, 1993

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

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
North Carolina
(2/18/2015)
RR
Texas
(2/6/2004)

Exams


State Security Law Exam
RR
Series 63
Date: 8/19/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
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#: 2936Laredo, TX 78041

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