Lisa Gronberg

Some features on this profile are disabled

CRD#: 2177727

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.

Lisa Gronberg, who also goes by Lisa Marie Gronberg, Lisa S. Gronberg, Lisa Marie Sictergronberg, Lisa Marie Sieler, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1993. Lisa had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lisa Marie Gronberg | Lisa S. Gronberg | Lisa Marie Sictergronberg | Lisa Marie Sieler

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2015 - December 31, 2015

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Bismarck, ND

Past

September 17, 2012 - December 17, 2014

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

BISMARK, ND

Past

September 11, 2009 - August 16, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

BISMARCK, ND

Past

September 11, 2009 - August 16, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BISMARCK, ND

Past

August 12, 2006 - September 11, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BISMARCK, ND

Past

August 12, 2006 - September 11, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BISMARCK, ND

Past

June 4, 2002 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

BISMARCK, ND

Past

December 19, 1997 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

BISMARCK, ND

Past

June 24, 1997 - January 2, 1998

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

November 10, 1993 - April 15, 1997

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

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

State Security Law Exam

IAR

Series 66

Date: 5/17/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/4/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/1993

General Securities Representative Examination

Current Firm

THE O.N. EQUITY SALES COMPANY

CRD#: 2936 / SEC#: , 8-14161

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONSTELLATION INSURANCE, INC.	PARENT COMPANY
VANHOY, ANDREW JOSEPH	DIRECTOR & CHIEF COMPLIANCE OFFICER	3012299
WESTBROCK, NANCY M	CHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER	5637288

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lisa Gronberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKLIGHT PLACE SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

FINTEGRA, LLC

INVESTMENT CENTERS OF AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/17/2002

Series 63

Date: 12/4/1993

SIE

Date: 12/31/2015

Series 7

Date: 11/9/1993

Current Firm

THE O.N. EQUITY SALES COMPANY

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE O.N. EQUITY SALES COMPANY

TRUST BUT VERIFY

Similar Advisors