Mark D. Nokes
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.
Mark Dean Nokes was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2012 - December 31, 2019
THE O.N. EQUITY SALES COMPANY
February 22, 2011 - December 31, 2011
ALLIED BEACON PARTNERS, INC.
May 17, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
May 27, 2004 - May 19, 2010
OSAIC WEALTH, INC.
November 11, 2003 - June 10, 2004
NSA SECURITIES CORPORATION
July 14, 2003 - October 31, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
July 12, 2001 - June 27, 2002
NSA SECURITIES CORPORATION
June 25, 1998 - July 10, 2001
VERAVEST INVESTMENTS, INC.
October 6, 1997 - November 18, 1997
VERAVEST INVESTMENTS, INC.
May 8, 1997 - May 18, 1998
RE-DIRECT SECURITIES CORP
February 8, 1994 - April 1, 1997
WOODBURY FINANCIAL SERVICES, INC.
January 25, 1991 - February 4, 1994
USLIFE EQUITY SALES CORP.
July 5, 1989 - January 8, 1991
TOWER SQUARE SECURITIES, INC.
December 12, 1988 - April 27, 1989
1717 CAPITAL MANAGEMENT COMPANY
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.
