Tim M. Cowell
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.
Tim Michael Cowell, who also goes by Thomas Michael Cowell, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 2007. Tim had worked at 6 firms and has passed the Series 65, 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
October 13, 2016 - December 27, 2016
THE O.N. EQUITY SALES COMPANY
September 26, 2016 - December 27, 2016
ON INVESTMENT MANAGEMENT CO
December 10, 2010 - March 20, 2015
MCMILL CPA AND ADVISORS
October 8, 2009 - December 7, 2010
WEALTH MANAGEMENT
August 28, 2009 - September 24, 2009
KEATING FINANCIAL ADVISORY SERVICES
December 5, 2007 - July 31, 2009
ASSURITY ADVISORS 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
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.
