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KC

Kevin P. Conley

THE O.N. EQUITY SALES COMPANY
Naples, FL
Some features on this profile are disabled
CRD#: 1434976
KC

Professional summary

Kevin Potter Conley is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Naples, Florida.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1985. Kevin has worked at 8 firms and has passed the Series 65, 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 Kevin Potter Conley'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

July 30, 2018 - Present

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Naples, FL
Past

September 10, 2014 - July 31, 2018

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
Leesburg, VA
Past

January 23, 2014 - September 2, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
LEESBURG, VA
Past

April 25, 2008 - January 24, 2014

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
VIENNA, VA
Past

November 5, 1997 - April 11, 2008

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
BETHESDA, MD
Past

March 1, 1996 - April 10, 2008

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
FAIRFAX, VA
Past

September 6, 1995 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

December 16, 1985 - September 7, 1995

THE GREAT-WEST LIFE ASSURANCE COMPANY

BD
CRD#: 5927
ENGLEWOOD, CO

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
Alabama
(7/30/2018)
RR
Colorado
(7/30/2018)
RR
Delaware
(5/9/2023)
RR
District of Columbia
(7/30/2018)
RR
Florida
(7/30/2018)
RR
Maryland
(7/30/2018)
RR
Michigan
(8/7/2020)
RR
Pennsylvania
(7/30/2018)
RR
Virginia
(7/30/2018)
RR
Washington
(6/5/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/18/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/26/1995
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 6
Date: 12/13/1985
Investment Company Products/Variable Contracts Representative 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#: 2936Naples, FL

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