Vincent H. Keene
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.
Vincent Hal Keene was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1997. Vincent had worked at 5 firms and has passed the Series 63, SIE 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
February 29, 2012 - November 17, 2016
THE O.N. EQUITY SALES COMPANY
January 1, 2004 - December 31, 2011
VOYA FINANCIAL ADVISORS, INC.
July 29, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 6, 1997 - July 7, 2003
METROPOLITAN LIFE INSURANCE COMPANY
March 6, 1997 - July 7, 2003
MSI FINANCIAL SERVICES, INC.
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
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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