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SK

Scott J. Kroeger

THE O.N. EQUITY SALES COMPANY
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 1740958
SK

Professional summary

Scott James Kroeger is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Cincinnati, Ohio.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1988. Scott has worked at 7 firms and has passed the SIE and Series 6 exams.

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 Scott James Kroeger'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

November 20, 2018 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 2936
Cincinnati, OH
Past

November 24, 2004 - March 1, 2006

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

July 2, 2002 - November 4, 2004

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

December 21, 2001 - March 15, 2002

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

January 1, 1996 - December 31, 1999

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

April 7, 1994 - January 1, 1996

OLD SLIP CAPITAL MANAGEMENT, INC.

BD
CRD#: 7360
NEW YORK, NY
Past

April 16, 1992 - December 31, 1993

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

November 25, 1988 - December 31, 1990

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

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

General Industry/Product Exam
RR
SIE
Date: 11/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/20/2018
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

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Company Information

THE O.N. EQUITY SALES COMPANY

CRD#: 2936Cincinnati, OH 45242

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