Ronald A. Okum
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.
Ronald Alvin Okum, who also goes by Ron Okum, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1969. Ronald had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 1996 - February 14, 1997
THE O.N. EQUITY SALES COMPANY
August 12, 1994 - December 31, 1995
MUTUAL SERVICE CORPORATION
November 14, 1991 - July 6, 1994
THE O.N. EQUITY SALES COMPANY
August 14, 1990 - November 26, 1991
WOODBURY FINANCIAL SERVICES, INC.
January 18, 1985 - February 15, 1990
JOHN HANCOCK DISTRIBUTORS LLC
December 30, 1971 - November 15, 1983
ONEAMERICA SECURITIES, INC.
December 30, 1971 - December 5, 1983
AMERICAN UNITED LIFE INSURANCE COMPANY
November 19, 1969 - January 18, 1972
FINANCIAL ADVISORS INVESTMENT RESEARCH 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: 11/10/1969
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.
