Josh R. Abernathy
Professional summary
Josh Ray Abernathy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Josh is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Josh had worked at 7 firms, which includes THE O.N. EQUITY SALES COMPANY, NEXT FINANCIAL GROUP INC., MML INVESTORS SERVICES LLC, OSAIC WEALTH INC., HIGH MARK SECURITIES INC., A. G. EDWARDS & SONS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2013 - August 19, 2014
THE O.N. EQUITY SALES COMPANY
March 27, 2007 - September 26, 2012
NEXT FINANCIAL GROUP, INC.
March 16, 2007 - September 26, 2012
NEXT FINANCIAL GROUP, INC.
February 16, 2005 - April 12, 2007
MML INVESTORS SERVICES, LLC
August 26, 2004 - February 10, 2005
OSAIC WEALTH, INC.
August 20, 2003 - September 2, 2004
HIGH MARK SECURITIES, INC.
April 12, 2002 - August 19, 2003
A. G. EDWARDS & SONS, INC.
April 11, 2002 - August 19, 2003
A. G. EDWARDS & SONS, INC.
August 25, 2000 - February 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current 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
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