Frank John Cariola

Employer firm

On Investment Management Co CRD 105662

$3.15B regulatory AUM 308 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
SEI, ASSETMARK, BRINKER CAPITAL, BNY MELLON ADVISORS, INC, SYMMETRY PARTNERS, ENVESTNET

From the firm’s Form ADV. Read the guides:

Current Employers

On Investment Management Co

One Financial Way, Cincinnati, OH 45242 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-12-21
TX	RA	APPROVED	2013-03-22
MD	RA	APPROVED	2010-10-18
PA	RA	APPROVED	2010-04-15

FL RA
APPROVED

Since 2018-12-21
TX RA
APPROVED

Since 2013-03-22
MD RA
APPROVED

Since 2010-10-18
PA RA
APPROVED

Since 2010-04-15

Branch Locations

King Of Prussia, PA • United States

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

Organization	City	State	From	To
Capital Analysts Incorporated	Cincinnati	OH	01/2009	Present
The O.N. Equity Sales Company	Cincinnati	OH	04/2010	Present
Ohio National Financial Services	Cincinnati	OH	04/2009	Present

01/2009 → Present

Capital Analysts Incorporated

Cincinnati, OH
04/2010 → Present

The O.N. Equity Sales Company

Cincinnati, OH
04/2009 → Present

Ohio National Financial Services

Cincinnati, OH

Previous Registrations

2009-01-12 → 2010-04-13

Cincinnati Analysts, Inc.

Ardmore, PA

Cincinnati, OH
2004-10-13 → 2008-11-05

Eagle Strategies Llc

Wayne, PA
2002-06-21 → 2004-10-01

New England Securities

Newtown Square, PA

Other Businesses

1)CORNERSTONE STRATEGIES LLC; NOT INVESTMENT RELATED; 601 BOXFORD CIRCLE KING OF PRUSSIA, PA 19406; LIFE INSURANCE,DISABILITY,LONG TERM CARE,LIFE INSURANCE SURVIVORSHIP LIFE; START DATE: 10/1978; 400 HOURS PER MONTH(80 HOURS DURING TRADING HOURS) 2)GIDEONS INTERNATIONAL; NOT INVESTMENT RELATED; PO BOX 140800 NASHVILLE TN 57214; BIBLE SOCIETY; MEMBERSHIP CHARMAN; START DATE: 07/1992; 12 HOURS PER MONTH(2 HOURS DURING TRADING HOURS) HELP MAINTAIN MEMBERSHIP; DISTRIBUTE BIBLES ON A GLOBAL SCALE, SCHOOLS, PRISONS, HOSPITALS, AND HOTELS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-11-30

S63 Uniform Securities Agent State Law Examination

1983-11-30

Designations

Chartered Financial Consultant

View on SEC IAPD