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Current Employers
On Investment Management Co

One Financial Way, Cincinnati, OH 45242 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-03-25
  • TX RA
    APPROVED
    Since 2024-03-25

Branch Locations

One Financial Way, Cincinnati, OH 45242 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Insurance Brentwood TN 06/2006 11/2023
Nationwide Securities Inc Dublin OH 11/2007 11/2023
The O.N. Equity Sales Company Cincinnati OH 03/2024 Present
Augustar Financial Cincinnati OH 03/2024 Present
Unemployed Round Rock TX 12/2023 02/2024
  • 06/2006 → 11/2023
    Nationwide Insurance
    Brentwood, TN
  • 11/2007 → 11/2023
    Nationwide Securities Inc
    Dublin, OH
  • 03/2024 → Present
    The O.N. Equity Sales Company
    Cincinnati, OH
  • 03/2024 → Present
    Augustar Financial
    Cincinnati, OH
  • 12/2023 → 02/2024
    Unemployed
    Round Rock, TX
Previous Registrations
  • 2019-12-12 → 2023-12-06
    Columbus, OH
  • 2009-10-02 → 2019-12-31
    Little Rock, AR
    Charlotte, NC
    Charlotte, NC
    Murfreesboro, TN
    Little Rock, AR
    Columbus, OH
  • 2005-05-17 → 2006-01-06
    Concourse Financial Group Securities, Inc.
    Atlanta, GA
    Tyrone, GA
    Evans, GA
Other Businesses

1). AuguStar Financial; not investment related; One financial way, Cincinnati, OH 45242; External Wholesaler; 03/11/2024-present; 40 hours/month (40 hours during securities trading hours); life wholesaling for AuguStar.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-05
S63 Uniform Securities Agent State Law Examination 2004-02-07
  • S66 Uniform Combined State Law Examination
    2009-01-05
  • S63 Uniform Securities Agent State Law Examination
    2004-02-07

View on SEC IAPD

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