Michael J. Steffens
Professional summary
Michael Joseph Steffens, who also goes by Mike Steffens, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Waterford, Wisconsin.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 6 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 Michael Joseph Steffens's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 25, 2013 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 417 N. Milwaukee Street, Waterford, WI 53185May 3, 1999 - December 11, 2013
PARK AVENUE SECURITIES LLC
October 31, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
April 1, 1993 - October 18, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 1, 1993 - October 18, 1994
SIGNATOR INVESTORS, INC.
January 14, 1991 - April 2, 1993
VP DISTRIBUTORS 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
(11/25/2013)
(6/24/2022)
(12/9/2013)
(8/15/2018)
(11/25/2013)
(11/18/2020)
(7/3/2024)
(11/25/2013)
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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Company Information
THE O.N. EQUITY SALES COMPANY
CRD#: 2936Waterford, WI 53185TRUST BUT VERIFY
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