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JE

Joseph R. Evans

Some features on this profile are disabled
CRD#: 2358241
JE

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.

Joseph Ray Evans, who also goes by Joe R Evans, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe R Evans

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

September 11, 2019 - September 7, 2022

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

April 18, 2011 - November 30, 2017

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
OREM, UT
Past

April 15, 2011 - November 30, 2017

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
OREM, UT
Past

June 30, 2010 - March 31, 2011

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SANDY, UT
Past

June 22, 2010 - March 31, 2011

NEW ENGLAND SECURITIES

BD
CRD#: 615
SANDY, UT
Past

March 4, 2005 - June 2, 2010

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
OREM, UT
Past

March 2, 2005 - June 2, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
OREM, UT
Past

March 21, 2001 - March 7, 2005

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
PROVO, UT
Past

May 3, 1999 - March 7, 2005

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

April 16, 1996 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

July 22, 1993 - April 9, 1996

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

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 65
Date: 12/20/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/9/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/21/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TO
THE O.N. EQUITY SALES COMPANY
THE O.N. EQUITY SALES COMPANY

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299
WESTBROCK, NANCY MCHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER5637288

Disclosures

Regulatory Event7
Arbitration2

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.

Company Information

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

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