WH
Warren N. Howard
ON INVESTMENT MANAGEMENT CO
LEXINGTON, KY 40513
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CRD#: 1048801
WH
Professional summary
Warren Neil Howard, who also goes by Neil Howard, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lexington, Kentucky and THE O.N. EQUITY SALES COMPANY located in Lexington, Kentucky.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Warren has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neil Howard
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) LEXINGTON FINANCIAL SERVICES, DBA ENVISAGE; MEDICAL INSURANCE/ LIFE SALES; NON INVESTMENT RELATED; 1029 MONARCH STREET, #150, LEXINGTON, KENTUCKY 40513; MEDICAL INSURANCE SALES, LIFE INSURANCE SALES; BROKER; 09/81-PRESENT; 80 HOURS/MONTH; 4-5 DURING SECURITIES TRADING HOURS/MONTH; INDIVIDUAL, GROUP SALES - VARIOUS CARRIERS. 2) NEIL HOWARD PROPERTIES; YES INVESTMENT RELATED; 1029 MONARCH STREET, #150, LEXINGTON, KENTUCKY 40513; OWNER/LANDLORD; 09/08-PRESENT;1 HOURS/MONTH; 0 DURING SECURITIES TRADING HOURS/MONTH; PASSIVE.
CRS (Client Relationship Summary) - RIA
Click below to view Warren Neil Howard'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
October 24, 2005 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1029 Monarch Suite 150, Lexington, KY 40513RIA
CRD#: 105662
LEXINGTON, KY
Current
August 21, 1985 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1029 Monarch Suite 150, Lexington, KY 40513BD
CRD#: 2936
Lexington, KY
Past
February 25, 1985 - August 21, 1985
MANAGED INVESTMENTS, INC.
BD
CRD#: 2640
Past
June 21, 1982 - February 20, 1985
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
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
Alabama(1/13/2023)
RR
Florida(4/3/2018)
RR
Georgia(2/25/2020)
RR
Illinois(8/23/2019)
RR
Indiana(3/11/2004)
RR
Kentucky(8/21/1985)
IAR
Kentucky(10/24/2005)
RR
Michigan(8/28/2017)
RR
Ohio(7/17/2015)
RR
Texas(1/13/2023)
RR
West Virginia(4/11/1996)
IAR
West Virginia(10/26/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Lexington, KY 40513TRUST BUT VERIFY
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Contact information
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