Gerald M. Kollmorgen
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.
Gerald Mark Kollmorgen, who also goes by G Mark Kollmorgen, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1986. Gerald had worked at 9 firms and has passed the Series 63 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
October 12, 2007 - February 14, 2013
THE O.N. EQUITY SALES COMPANY
December 8, 1998 - October 17, 2007
HARBOUR INVESTMENTS, INC.
December 5, 1995 - December 11, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
August 11, 1994 - November 22, 1995
VOYA FINANCIAL ADVISORS, INC.
October 14, 1993 - August 11, 1994
OSAIC FS, INC.
September 17, 1992 - October 28, 1993
MONY SECURITIES CORPORATION
March 26, 1990 - September 29, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 26, 1990 - September 29, 1992
OSAIC FA, INC.
March 27, 1986 - June 23, 1986
B.C. CHRISTOPHER SECURITIES CO.
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
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.
