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Current Employers
On Investment Management Co

One Financial Way, Cincinnati, OH 45242 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-08-21
FL RA APPROVED 2024-05-15
IN RA APPROVED 2024-04-29
CO RA APPROVED 2020-09-11
IL RA APPROVED 2018-04-16
  • TX RA
    APPROVED_RES
    Since 2026-08-21
  • FL RA
    APPROVED
    Since 2024-05-15
  • IN RA
    APPROVED
    Since 2024-04-29
  • CO RA
    APPROVED
    Since 2020-09-11
  • IL RA
    APPROVED
    Since 2018-04-16

Branch Locations

4200 Commerce Ct Suite 350, Lisle, IL 60532 • 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
Principal Life Insurance Company Downers Grove IL 05/2015 02/2017
Princor Financial Services Corporation Downers Grove IL 05/2015 02/2017
Kestra Financial, Llc Austin TX 05/2017 04/2018
The O.N. Equity Sales Company Cincinnati OH 04/2018 Present
Ohio National Financial Services Cincinnati OH 06/2017 Present
  • 05/2015 → 02/2017
    Principal Life Insurance Company
    Downers Grove, IL
  • 05/2015 → 02/2017
    Princor Financial Services Corporation
    Downers Grove, IL
  • 05/2017 → 04/2018
    Kestra Financial, Llc
    Austin, TX
  • 04/2018 → Present
    The O.N. Equity Sales Company
    Cincinnati, OH
  • 06/2017 → Present
    Ohio National Financial Services
    Cincinnati, OH
Previous Registrations
Other Businesses

1) Fixed Insurance Sales; not investment related; 4320 Winfield Road Suite 200, Warrenville IL 60555; Sales of Fixed insurance products; sales; 04/01/2018; sales of fixed insurance products; 30 hours/month ( 15 during security trading hours); sell life, health, Property and Casaulty insurance products. 2). American Medicare Disability Advocates; Not investment related; 4200 Commerce Drive STE 350, Lisle, IL 60532; Non Profit organization to help those on disability navigate Medicare; volunteer; 07/01/2024-present; 10 hours/month (5 during securities trading hours/month); Help people with special abilities navigate Medicare. 3). Hygge Consulting Partners; Not investment related; 4200 Commerce Ct, Lisle, IL 60532; Fixed Insurance; Owner; 04/07/2026-present; 10 hours/month (5 hours/month during securities trading hours); Non-securities insurance sales.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-29
S63 Uniform Securities Agent State Law Examination 2006-04-03
  • S65 Uniform Investment Adviser Law Examination
    2016-01-29
  • S63 Uniform Securities Agent State Law Examination
    2006-04-03
Other Names
  • David Nelson
  • David N Nelson

View on SEC IAPD

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