Charles E. Lewis

THE O.N. EQUITY SALES COMPANY

Silver Spring, MD 20904

Some features on this profile are disabled

CRD#: 308500

Professional summary

Charles Edward Lewis JR, who also goes by Chuck Lewis, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Silver Spring, Maryland.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1969. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Lewis

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 Charles Edward Lewis JR'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

January 2, 2014 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: 12501 Prosperity Drive Suite 320, Silver Spring, MD 20904

CRD#: 2936

Silver Spring, MD

Past

February 3, 2005 - January 9, 2014

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

SILVER SPRING, MD

Past

May 6, 2004 - February 1, 2005

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

Past

January 2, 2001 - May 25, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 2, 1998 - December 31, 2000

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 7, 1993 - April 1, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 1, 1969 - June 7, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

State Registrations and Notice Filings

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

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

Arizona
(4/16/2020)

Colorado
(1/2/2014)

Connecticut
(1/2/2014)

Delaware
(12/13/2017)

District of Columbia
(1/2/2014)

Florida
(1/2/2014)

Georgia
(1/2/2014)

Maryland
(1/2/2014)

North Carolina
(1/10/2020)

Ohio
(1/2/2014)

South Carolina
(1/2/2014)

Tennessee
(1/2/2014)

Virginia
(1/2/2014)

West Virginia
(1/2/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/17/1968

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

THE O.N. EQUITY SALES COMPANY

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONSTELLATION INSURANCE, INC.	PARENT COMPANY
VANHOY, ANDREW JOSEPH	DIRECTOR & CHIEF COMPLIANCE OFFICER	3012299
WESTBROCK, NANCY M	CHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER	5637288

Disclosures

Regulatory Event	7
Arbitration	2

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles E. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Lewis JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

VALMARK SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

MUTUAL SERVICE CORPORATION

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/1995

Series 63

Date: 11/30/1981

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/17/1968

FINRA

Current Firm

THE O.N. EQUITY SALES COMPANY

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE O.N. EQUITY SALES COMPANY

TRUST BUT VERIFY

Similar Advisors