Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Pennsylvania-based ON Equity Sales Company broker/adviser Dennis Travis has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Travis (CRD# 2166809).
Dennis Travis has spent 25 years in the securities industry and has been registered with The ON Equity Sales Company in Pittsburgh, Pennsylvania since 2011. Previous registrations include MetLife Securities in Pittsburgh, Pennsylvania (1991-2010) and the Metropolitan Life Insurance Company in Pittsburgh, Pennsylvania (1991-2007). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 28, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 24, 1992; Series 7 (General Securities Representative Examination), which he obtained on May 3, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 29, 1991. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia and West Virginia.
According to his BrokerCheck report, he has received one FINRA sanction, two customer complaints, and one pending customer complaint.