RB

Richard P. Blume

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CRD#: 867141
RB

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.

Richard Paul Blume, who also goes by Dick Blume, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 8 firms and has passed the Series 1 exam.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Dick Blume

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

December 19, 2002 - December 31, 2008

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
AVON, OH
Past

March 25, 1992 - December 31, 2000

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

April 10, 1989 - January 31, 1992

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

July 1, 1986 - April 10, 1989

AMERICAN PACIFIC SECURITIES CORPORATION

BD
CRD#: 5003
Past

December 18, 1985 - July 22, 1986

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

July 20, 1982 - April 9, 1985

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
Past

March 5, 1981 - April 15, 1985

HOME LIFE INSURANCE COMPANY

BD
CRD#: 4184
Past

June 7, 1979 - August 10, 1980

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


General Industry/Product Exam
RR
Series 1
Date: 6/1/1979
Registered Representative Examination

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

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


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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


THE O.N. EQUITY SALES COMPANY

CRD#: 2936

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