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One Financial Way, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2024-07-31 |
| NC | RA | APPROVED | 2021-02-04 |
| NJ | RA | APPROVED | 2003-11-14 |
| PA | RA | APPROVED | 2003-11-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The O.N. Equity Sales Company | Cincinnati | OH | 07/2003 | Present |
1)LAKEN, KRAMER, CAFISO & PEARSON; NOTINVESTMENT RELATED; PO BOX 346 CONSHOHOCKEN PA 19428; LIFE, HEALTH, DISABILITY, LTC INSURANCE, INSURANCE AGENT; 10/01/1988-CURRENT; 100 HOURS/MONTH; 100 DURING SECURITIES TRADING HOURS; THE SALE/SERVICE OF DISABILITY, HEALTH. LIFE AND LONG TERM CARE INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-17 |
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