William A. Padden
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.
William August Padden was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
March 31, 2015 - December 31, 2022
THE O.N. EQUITY SALES COMPANY
March 1, 2013 - December 31, 2014
MML INVESTORS SERVICES, LLC
February 7, 2013 - December 31, 2014
MML INVESTORS SERVICES, LLC
August 13, 2002 - December 31, 2012
NEW ENGLAND SECURITIES
February 25, 1987 - January 9, 2013
NEW ENGLAND SECURITIES
January 12, 1987 - September 16, 1987
T.H. LEHMAN SECURITIES CORPORATION
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.
