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KB

Kenneth E. Baum

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CRD#: 1453683
KB

Professional summary

Kenneth Eugene Baum was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Kenneth had worked at 4 firms, which includes THE O.N. EQUITY SALES COMPANY, PRUCO SECURITIES LLC., AMERICAN GENERAL SECURITIES INCORPORATED, VSR FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Baum | Kenny Baum

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 13, 1995 - May 23, 1995

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

April 6, 1993 - March 1, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 12, 1987 - August 22, 1988

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

August 18, 1986 - January 21, 1987

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

February 24, 1986 - October 7, 1986

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/5/1993
Investment Company Products/Variable Contracts Representative Examination

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.

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Company Information

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

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