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AG

Andrew E. Golden

THE O.N. EQUITY SALES COMPANY
Winston-salem, NC 27103
Some features on this profile are disabled
CRD#: 6947931
AG

Professional summary

Andrew Ernesto Golden, who also goes by Andrew Golden, is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Winston-salem, North Carolina.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Golden

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 Andrew Ernesto Golden'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 15, 2018 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: 1324 Westgate Center Drive, Winston-salem, NC 27103
BD
CRD#: 2936
Winston-salem, NC

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
Alabama
(3/13/2025)
RR
Florida
(8/5/2022)
RR
Georgia
(12/11/2023)
RR
Illinois
(5/2/2022)
RR
Indiana
(8/28/2020)
RR
Kansas
(9/13/2022)
RR
Montana
(9/13/2022)
RR
North Carolina
(11/16/2018)
RR
South Carolina
(1/25/2022)
RR
Tennessee
(3/10/2021)
RR
Virginia
(10/15/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/2018
Investment Company Products/Variable Contracts 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#: 2936Winston-salem, NC 27103

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