Samuel K. Ross
ON INVESTMENT MANAGEMENT CO
Blountville, TN 37617
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CRD#: 1111825
Professional summary
Samuel Killgore Ross, CFP® is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Blountville, Tennessee and THE O.N. EQUITY SALES COMPANY located in Blountville, Tennessee.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Samuel has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) SECURE MONEY MASTERS; NOT INVESTMENT RELATED; 1810 Highway 394, Blountville, TN 37617; SELLING INSURANCE; VICE PRESIDENT; START DATE: 02/20/2005; 200 HOURS PER MONTH(200 HOURS DURING TRADING) SELLING LIFE, HEALTH, DISABILITY, LONG TERM CARE, FIXED AND INDEXED ANNUITIES. 2) SAMUEL ROSS; NOT INVESTMENT RELATED; 1810 Highway 394, Blountville, TN 37617; TAX PREPARATION; SOLE PROPRIETOR; START DATE: 04/01/1982; 30 HOURS PER MONTH(5 HOURS DURING TRADING) 3) SAMUEL ROSS; NOT INVESTMENT RELATED;1810 Highway 394, Blountville TN 37617; NOTARY; START DATE: 07/30/2006; 3 HOURS PER MONTH(1 HOUR DURING TRADING) 4) TASC; NOT INVESTMENT RELATED; 2302 INTERNATIONAL LANE MADISON WI 53704; PROVIDER OF CAFETERIA PLANS & MEDICAL REIMBURSEMENT PLANS; AGENT; START DATE: 05/10/2011; 2 HOURS PER MONTH (2 HOURS DURING MARKET HOURS); REFERS BUSINESS CLIENTS SEEKING HEALTH SAVINGS PLANS AND MEDICAL REIMBURSEMENT PLANS TO PRODUCT PROVIDER.5) AMERIESTATE LEGAL PLAN; NOT INVESTMENT RELATED; 3525 HYLAND AVE SUITE 150 COSTA MESA CA 92626; PREPAID LEGAL & ESTATE PLANS; SALES REP; START DATE 11/30/2012; HOURS/MONTH 2; HOURS/TRADING 2; SALE OF PREPAID LEGAL & ESTATE PLANS; 6) MR LEASING LLC; INVESTMENT RELATED; 1058 HIDDEN VALLEY RD KINGSPORT TN 37663; PROPERTY LEASING; MANAGING MEMBER; START DATE 08/20/2013; HOURS/MONTH 2; HOURS/TRADING 0; OVERSEE 1 PROPERTY ON LEASE; .7) 1810 Partnership; not investment related; 1810 Hwy 394 Blountville TN 37617; leasing real estate; partner; 01/14/2022; 5 hours/month ( 0 during security hours); managing property and maintenance
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Killgore Ross'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®
CFP®
Start date: 2001
Experience
Current
June 8, 2007 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1810 Highway 394, Blountville, TN 37617RIA
CRD#: 105662
Blountville, TN
Current
June 8, 2007 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1810 Highway 394, Blountville, TN 37617BD
CRD#: 2936
Blountville, TN
Past
April 27, 2005 - June 7, 2007
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
BRISTOL, TN
Past
March 17, 2005 - May 6, 2005
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
JACKSON, TN
Past
March 15, 2004 - February 24, 2005
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
KINGSPORT, TN
Past
April 6, 1983 - February 24, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 6, 1983 - February 24, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(5/23/2014)
RR
Colorado(10/4/2007)
IAR
Colorado(9/25/2017)
RR
Florida(8/22/2007)
IAR
Florida(12/11/2019)
RR
Georgia(7/28/2011)
IAR
Georgia(6/3/2019)
RR
Illinois(8/22/2007)
RR
Kentucky(11/13/2007)
IAR
Kentucky(9/11/2017)
RR
Maryland(3/17/2021)
IAR
Maryland(8/31/2021)
RR
Missouri(8/7/2012)
IAR
Missouri(1/24/2017)
RR
New Mexico(8/29/2011)
IAR
New Mexico(7/8/2021)
RR
North Carolina(10/22/2013)
IAR
North Carolina(1/29/2018)
RR
Ohio(6/16/2023)
RR
Oklahoma(6/5/2012)
RR
Pennsylvania(3/9/2011)
RR
South Carolina(3/25/2015)
IAR
South Carolina(10/29/2018)
RR
Tennessee(6/8/2007)
IAR
Tennessee(6/8/2007)
RR
Texas(2/2/2011)
IAR
Texas(1/17/2012)
RR
Virginia(6/8/2007)
IAR
Virginia(6/11/2007)
RR
Washington(2/25/2009)
RR
West Virginia(8/25/2016)
RR
Wisconsin(2/22/2011)
IAR
Wisconsin(5/25/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 105662Blountville, TN 37617TRUST BUT VERIFY
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