Philip M. Ohearn
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.
Philip Michael Ohearn was a registered financial advisor .
Philip is a previously registered financial advisor and started their career in finance in 1994. Philip had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2013 - November 4, 2014
FORESTERS EQUITY SERVICES, INC.
July 26, 2010 - March 16, 2012
HORNOR, TOWNSEND & KENT, LLC
July 23, 2010 - March 16, 2012
HORNOR, TOWNSEND & KENT, LLC
November 18, 2008 - June 4, 2010
CANTELLA & CO., INC.
November 17, 2008 - June 4, 2010
CANTELLA & CO., INC.
August 1, 2008 - October 10, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - October 10, 2008
NATIONWIDE SECURITIES, LLC
October 2, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 12, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 6, 1994 - August 30, 2007
NATIONWIDE SECURITIES, 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
Exams
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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