Michael E. Loeb
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.
Michael Edwin Loeb, who also goes by Mike Loeb, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1967. Michael had worked at 5 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 1995 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
January 27, 1992 - March 14, 1994
PAN-AMERICAN FINANCIAL ADVISERS
September 6, 1972 - December 31, 1989
G. R. PHELPS & CO., INC.
December 15, 1971 - July 15, 1972
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
October 16, 1967 - December 12, 1971
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 9/21/1967
Registered Representative ExaminationCurrent 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
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.
