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Patricia E. Ball

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CRD#: 3098481
PB

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.

Patricia E Ball, who also goes by Patricia E Trombley, Patricia Eve Trombley, Patricia Trombley, Patricia E Trombley-ball, Patty Trombley-ball, Patricia E Trombleyhough, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1998. Patricia had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia E Trombley | Patricia Eve Trombley | Patricia Trombley | Patricia E Trombley-Ball | Patty Trombley-Ball | Patricia E Trombleyhough

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 16, 2018 - January 30, 2023

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

March 3, 2016 - October 12, 2018

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

March 18, 2011 - October 26, 2015

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

November 8, 2006 - May 19, 2009

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
MONTCLAIR, NJ
Past

November 6, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 6, 2006 - May 19, 2009

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 24, 2002 - November 18, 2004

NEW ENGLAND SECURITIES

RIA
CRD#: 615
FAIRFIELD, NJ
Past

June 19, 2001 - November 18, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

August 12, 1998 - April 26, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/3/1999
Uniform Combined 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: 8/10/1998
General Securities Representative Examination

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#: 2936

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