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Amy Dietz

THE O.N. EQUITY SALES COMPANY
Cincinnati, OH 45249
Some features on this profile are disabled
CRD#: 6129359
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Professional summary

Amy Dietz, who also goes by Amy Marie Dietz, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Cincinnati, Ohio.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2013. Amy has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Marie Dietz

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 Amy Dietz's CRS (Customer Relationship Summary).
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 6, 2019 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: 9435 Waterstone Blvd Suite 280, Cincinnati, OH 45249
BD
CRD#: 2936
Cincinnati, OH
Past

August 7, 2019 - October 18, 2019

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Cincinnati, OH
Past

December 22, 2017 - September 19, 2019

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

June 30, 2016 - December 20, 2017

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

August 12, 2013 - July 5, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CINCINNATI, OH
Past

April 23, 2013 - July 5, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
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

RR
Ohio
(11/6/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TO
THE O.N. EQUITY SALES COMPANY
THE O.N. EQUITY SALES COMPANY

CRD#: 2936 / SEC#: , 8-14161

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(513) 794-6794
Established
Ohio since 08/22/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299
WESTBROCK, NANCY MCHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER5637288

Disclosures

Regulatory Event7
Arbitration2

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.

Company Information

THE O.N. EQUITY SALES COMPANY

CRD#: 2936Cincinnati, OH 45249

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