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SO

Stephen L. Ohly

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CRD#: 351604
SO

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.

Stephen Louis Ohly, who also goes by Stephen L Ohly, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1974. Stephen had worked at 7 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen L Ohly

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

September 28, 1998 - December 31, 1999

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

May 17, 1997 - June 29, 1998

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

June 27, 1995 - May 17, 1997

VARIABLE ASSET STRATEGIES, INC.

BD
CRD#: 37027
GREENWOOD VILLAGE, CO
Past

December 9, 1993 - September 1, 1995

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

September 16, 1991 - December 1, 1993

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

September 16, 1991 - December 1, 1993

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

November 24, 1987 - September 24, 1991

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Past

June 7, 1984 - December 16, 1987

MANAGED INVESTMENTS, INC.

BD
CRD#: 2640
Past

May 20, 1974 - September 24, 1991

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH

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

General Industry/Product Exam
RR
Series 1
Date: 5/16/1974
Registered 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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