Harold C. Dill
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.
Harold Conway Dill, who also goes by Harold C Dill, was a registered financial advisor .
Harold is a previously registered financial advisor and started their career in finance in 1988. Harold had worked at 6 firms and has passed the Series 65, 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
May 3, 2004 - October 19, 2006
THE O.N. EQUITY SALES COMPANY
April 29, 2004 - October 19, 2006
ON INVESTMENT MANAGEMENT CO
March 15, 2000 - April 30, 2004
OSAIC FS, INC.
February 27, 1999 - April 30, 2004
OSAIC FS, INC.
June 10, 1996 - March 2, 1999
EQUITY SERVICES, INC.
January 13, 1994 - May 7, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 4, 1991 - December 17, 1993
OSAIC FS, INC.
September 16, 1988 - March 21, 1991
MML INVESTORS 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
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.
