Samuel D. Onan

VAN ECK SECURITIES

New York, NY 10017

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CRD#: 5011271

Professional summary

Samuel Donald Onan, who also goes by Samuel D. Onan, is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2005. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Samuel D. Onan

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) - BD

Click below to view Samuel Donald Onan's CRS (Customer Relationship Summary).

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

Current

November 24, 2014 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017

CRD#: 2269

New York, NY

Past

January 3, 2011 - October 8, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

December 9, 2010 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

January 26, 2009 - September 21, 2010

RYDEX ADVISORY SERVICES, LLC

RIA

CRD#: 132735

ROCKVILLE, MD

Past

April 20, 2006 - September 21, 2010

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

SCHAUMBURG, IL

Past

September 14, 2005 - March 27, 2006

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/24/2014)

Indiana
(11/24/2014)

Iowa
(11/24/2014)

Michigan
(11/24/2014)

Minnesota
(11/24/2014)

Wisconsin
(11/24/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Mailing Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Phone number

(212) 293-2000

Established

Delaware since 08/01/1955

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VAN ECK ASSOCIATES CORPORATION	100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAEL	CHIEF COMPLIANCE OFFICER	2099916
RAPPAPORT, LEE ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR	4682842
SIMON, JONATHAN RICH	SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR	5313394
VANECK, JAN FREDERICK	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1695680

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Samuel D. Onan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Donald Onan's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMORGAN DISTRIBUTION SERVICES, INC.

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

EVERLAKE DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2009

Series 63

Date: 10/20/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2007

Series 6

Date: 9/13/2005

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VAN ECK SECURITIES CORPORATION

TRUST BUT VERIFY

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