TS
Thomas J. Sowinski
ON INVESTMENT MANAGEMENT CO
Greenland, NH 03840
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CRD#: 1159924
TS
Professional summary
Thomas Joseph Sowinski SR is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Greenland, New Hampshire and THE O.N. EQUITY SALES COMPANY located in Greenland, New Hampshire.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 22 and Series 26 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)HARBOUR POINTE FINANCIAL RESOURCES; NOT INVESTMENT RELATED; SELLING LIFE, HEALTH, DISABILTIY, LTC, FIXED ANNUITIES, GROUP LIFE AND HEALTH; SOLE PROPRIETOR; 01/01/1985-CURRENT; 80 HOURS/MONTH; 80 DURING SECURITIES TRADING HOURS; SELLING THE ABOVED MENTIONED PRODUCTS. 2)TOM SOWINSKI; NOT INVESTMENT RELATED; HELP FRIEND WITH MAINTAINING RENTAL PROPERTY; CONSULTANT; 01/01/2006-CURRENT; PROPERTY MANAGEMENT HELP WITH VENDOR NEGOTIATION. ACT AS LIASON BETWEEN OWNER AND SUB CONTRACTOR VENDORS.
3. Phoenix Family Focus, not investment related; 370 Portsmouth Ave, Greenland, NH 03840; non profit organization; President of Board of Directors; 05/01/2014-present; 3 hours/month (0 during securities trading hours); help to establish policies and programs along with other Board Members and the Executive Director. Help plan and attend organization fund raising activities and events.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Sowinski SR'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 4, 2018 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 370 Portsmouth Ave, Greenland, NH 03840RIA
CRD#: 105662
Greenland, NH
Current
March 11, 2004 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 370 Portsmouth Avenue, Greenland, NH 03840BD
CRD#: 2936
Greenland, NH
Past
August 23, 2000 - December 31, 2003
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
September 25, 1995 - August 23, 2000
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
August 31, 1995 - September 22, 1995
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Past
March 29, 1995 - September 1, 1995
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 22, 1993 - February 9, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
February 7, 1989 - January 5, 1993
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
Past
March 2, 1988 - January 26, 1989
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
February 19, 1986 - January 5, 1993
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
April 9, 1984 - February 24, 1986
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
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
Florida(3/15/2004)
RR
Maine(3/11/2004)
RR
Massachusetts(3/11/2004)
IAR
Massachusetts(2/18/2020)
RR
New Hampshire(3/11/2004)
IAR
New Hampshire(10/4/2018)
RR
Rhode Island(3/11/2004)
IAR
Rhode Island(3/1/2019)
Exams
State Security Law Exam
State Security Law 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#: 105662Greenland, NH 03840TRUST BUT VERIFY
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