David E. Spaulding
Professional summary
David Eugene Spaulding, who also goes by David Spaulding, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Cincinnati, Ohio.
David is registered as a RR (Registered Representative) and started their career in finance in 2016. David has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Eugene Spaulding's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2016 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: One Financial Way, Cincinnati, OH 45242State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
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Company Information
THE O.N. EQUITY SALES COMPANY
CRD#: 2936Cincinnati, OH 45242TRUST BUT VERIFY
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