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Samuel A Levy

THE O.n. Equity Sales Co.

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About Samuel A Levy

Samuel Levy is a financial advisor with over 30 years of experience in the financial services industry. He is registered with the state of Illinois. Samuel is currently affiliated with The O.n. Equity Sales Co., based in Lake Bluff, IL. Prior to joining The O.n. Equity Sales Co., Samuel Levy was affiliated with W. S. Griffith & Co., Inc., in Hartford, CT, and Phoenix Equity Planning Corporation.

Firm Information

Samuel Levy 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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Samuel Levy’s Registration & Firm History

IL

09/27/1999 - Present

THE O.n. Equity Sales Co. (Lake Bluff IL)

CT

06/07/1993 - 08/25/1999

W. S. GRIFFITH & CO., INC. (HARTFORD CT)

CT

10/08/1991 - 06/07/1993

PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)

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Licenses & Designations

IA

Issued 10/13/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/05/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Samuel A Levy. Review regulatory record here.
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