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ERIC MATTHEW APONTE
CRD#: 3168246
IA
B
ON INVESTMENT MANAGEMENT COCRD#: 105662 10300 Alliance Road
Blue Ash, OH 45242
Blue Ash, OH 45242
THE O.N. EQUITY SALES COMPANYCRD#: 2936 One Financial Way
Cincinnati, OH 45242
Cincinnati, OH 45242
0
Disclosures
25
Years of Experience
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State Registrations
B
Kentucky 7/28/2016
IA
Ohio 7/29/2016
SRO Registrations
B
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IA
Registered with this firm since 7/29/2016
B
Registered with this firm since 7/28/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/14/2011 - 07/25/2016 | CINCINNATI, OH | |
B | 08/22/2008 - 07/25/2016 | CINCINNATI, OH | |
B | 04/10/2007 - 06/27/2008 | COVINGTON, KY | |
B | 02/01/2007 - 04/10/2007 | DURHAM, NC | |
B | 04/20/2001 - 01/26/2007 | COVINGTON, KY | |
B | 05/03/2000 - 04/20/2001 | SMITHFIELD, RI | |
B | 03/23/2000 - 05/03/2000 | SMITHFIELD, RI | |
B | 02/22/2000 - 03/21/2000 | SMITHFIELD, RI | |
B | 06/03/1999 - 12/31/1999 | SMITHFIELD, RI |
DURHAM, NC
02/01/2007 - 04/10/2007
SMITHFIELD, RI
05/03/2000 - 04/20/2001
SMITHFIELD, RI
02/22/2000 - 03/21/2000
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.