Joseph J. Grabowski
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.
Joseph John Grabowski was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2007. Joseph had worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2014 - October 3, 2014
THE O.N. EQUITY SALES COMPANY
April 3, 2013 - April 24, 2014
TD AMERITRADE, INC.
April 3, 2013 - April 24, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 20, 2013 - April 24, 2014
TD AMERITRADE, INC.
December 24, 2008 - February 28, 2013
OPTIONSHOUSE1, LLC
February 7, 2008 - December 3, 2008
ZACKS INVESTMENT MANAGEMENT, INC.
August 16, 2007 - October 24, 2007
AMERIPRISE FINANCIAL SERVICES, 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
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