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Carlos Joaquin Zarate

THE O.n. Equity Sales Co.

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About Carlos Joaquin Zarate

Carlos Joaquin Zarate is a registered representative with The O.n. Equity Sales Co. Carlos Zarate has been in the financial industry since May 24, 2018. Carlos Zarate is currently registered in Ohio. Carlos Zarate has passed the Series 7TO, SIE, and Series 6 exams. Carlos Zarate was previously registered with LINCOLN FINANCIAL ADVISORS CORPORATION, LINCOLN FINANCIAL SECURITIES CORPORATION, and NATIONWIDE INVESTMENT SERVICES CORPORATION.

Firm Information

Carlos Zarate is currently registered with THE O.n. Equity Sales Co.. THE O.n. Equity Sales Co. is a Corporation that was formed on August 22, 1968. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have a history of regulatory events and arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

171

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carlos Zarate’s Registration & Firm History

OH

08/06/2024 - Present

THE O.n. Equity Sales Co. (Cincinnati OH)

PA

04/03/2023 - 05/31/2024

LINCOLN FINANCIAL ADVISORS CORPORATION (RADNOR PA)

PA

04/03/2023 - 05/31/2024

LINCOLN FINANCIAL SECURITIES CORPORATION (RADNOR PA)

OH

03/20/2018 - 04/11/2023

NATIONWIDE INVESTMENT SERVICES CORPORATION (GRANDVIEW HEIGHTS OH)

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Licenses & Designations

BC

Issued 07/07/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/27/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carlos Joaquin Zarate.
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