Michael T. Ertter
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.
Michael Thomas Ertter was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2007 - August 12, 2022
THE O.N. EQUITY SALES COMPANY
May 3, 1999 - June 26, 2007
PARK AVENUE SECURITIES LLC
May 18, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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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
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