Sheila M. Oeters
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.
Sheila Mary Oeters, who also goes by Sheila Mary Sample, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 2003. Sheila had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2014 - December 20, 2018
THE O.N. EQUITY SALES COMPANY
January 18, 2006 - August 15, 2014
KEY INVESTMENT SERVICES LLC
May 16, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
October 13, 2004 - April 15, 2005
NATCITY INVESTMENTS, INC.
March 25, 2003 - October 13, 2004
LUMENT SECURITIES, LLC
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
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.
