Claudia A. Germes
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.
Claudia Annette Germes, who also goes by Claudia Courtright, was a registered financial professional .
Claudia is a previously registered financial professional and started their career in finance in 1986. Claudia had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2015 - December 31, 2015
THE O.N. EQUITY SALES COMPANY
April 10, 2013 - March 19, 2014
LPL FINANCIAL LLC
July 5, 2011 - January 31, 2012
LPL FINANCIAL LLC
July 5, 2011 - March 19, 2014
LPL FINANCIAL LLC
July 3, 2006 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 3, 2006 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 23, 2004 - July 3, 2006
INTRUST BROKERAGE INC.
January 2, 1998 - July 3, 2006
INTRUST BROKERAGE INC.
April 23, 1986 - December 31, 1997
CETERA INVESTMENT SERVICES LLC
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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