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SO

Sean J. Otoole

THE O.N. EQUITY SALES COMPANY
Osterville, MA
Some features on this profile are disabled
CRD#: 2833156
SO

Professional summary

Sean James Otoole is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Osterville, Massachusetts.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1997. Sean has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Sean James Otoole's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 24, 2017 - Present

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Osterville, MA
Past

September 3, 2010 - March 18, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
ANDOVER, MA
Past

September 3, 2010 - March 18, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
ANDOVER, MA
Past

October 23, 2009 - September 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WESTBOROUGH, MA
Past

October 23, 2009 - September 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WESTBOROUGH, MA
Past

May 18, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WESTBOROUGH, MA
Past

May 22, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WESTBOROUGH, MA
Past

January 1, 2008 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHELMSFORD, MA
Past

November 4, 2005 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
CHELMSFORD, MA
Past

March 12, 2002 - November 17, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 7, 2002 - March 12, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

May 5, 1999 - October 7, 1999

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

March 3, 1997 - April 2, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Hawaii
(9/11/2024)
RR
Massachusetts
(2/24/2017)
RR
New Hampshire
(2/24/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/28/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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#: 2936Osterville, MA

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