Thomas O. Michel
Professional summary
Thomas Owen Michel, who also goes by Thomas O Michel, Tom Michel, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Shingle Springs, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Owen Michel's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2013 - Present
THE O.N. EQUITY SALES COMPANY
June 4, 2012 - April 5, 2013
NYLIFE SECURITIES LLC
June 30, 2006 - March 16, 2012
AMERITAS INVESTMENT COMPANY, LLC
July 11, 2001 - June 30, 2006
CARILLON INVESTMENTS, INC.
November 27, 2000 - July 30, 2001
BRECEK & YOUNG ADVISORS, INC.
March 19, 1997 - March 19, 1999
PLANMEMBER SECURITIES CORPORATION
December 13, 1995 - December 31, 1996
MUTUAL SERVICE CORPORATION
August 30, 1994 - December 13, 1994
ASSOCIATED SECURITIES CORP.
August 30, 1990 - December 31, 1993
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/2013)
Exams
FINRA
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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