PS
Peter D. Sentance
ON INVESTMENT MANAGEMENT CO
Los Angeles, CA
Some features on this profile are disabled
CRD#: 1002084
PS
Professional summary
Peter David Sentance, who also goes by Pete Sentance, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Los Angeles, California and THE O.N. EQUITY SALES COMPANY located in Los Angeles, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pete Sentance
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Southern California Jr. Cricket in America; Non Profit; 3006 hyperion ave, los angeles, ca,90027; not investment related; charity fundraising; Chair of board; 01/1996-Present; 5 hours/month(0 during trading hours); Coordinating Tournaments; 2)Sentance financial group; 3006 HYPERION AVE, LOS ANGELES, CA, 90027; Insurance Sales; Agent; 12/1979; health. disability, fixed annuity, long term care sales and cafe' (POP 105/125 products..
CRS (Client Relationship Summary) - RIA
Click below to view Peter David Sentance's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 21, 2018 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Los Angeles, CA
Current
May 21, 2018 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Los Angeles, CA
Past
June 3, 2015 - June 18, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
LOS ANGELES, CA
Past
June 3, 2015 - June 18, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
LOS ANGELES, CA
Past
April 13, 2000 - June 9, 2015
EQUITY SERVICES, INC.
RIA
CRD#: 265
LOS ANGELES, CA
Past
January 31, 2000 - June 9, 2015
EQUITY SERVICES, INC.
BD
CRD#: 265
LOS ANGELES, CA
Past
August 23, 1994 - December 31, 1994
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 8, 1991 - December 31, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 19, 1989 - December 31, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
January 20, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
July 23, 1984 - January 24, 1986
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
March 13, 1984 - July 19, 1984
FMS SECURITIES, INC.
BD
CRD#: 14356
Past
October 5, 1983 - April 16, 1984
RCL SECURITIES CORPORATION
BD
CRD#: 10675
Past
August 26, 1982 - October 17, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/30/2018)
IAR
Arizona(5/23/2019)
RR
California(5/21/2018)
IAR
California(5/21/2018)
RR
Colorado(8/27/2020)
RR
Florida(6/5/2018)
RR
Illinois(5/30/2018)
RR
New Mexico(4/8/2020)
RR
North Carolina(6/5/2019)
RR
Oregon(3/5/2019)
RR
South Carolina(5/29/2018)
RR
Utah(11/5/2019)
RR
Virginia(5/21/2018)
RR
Washington(5/21/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
