Karl G. Hamina

Some features on this profile are disabled

CRD#: 1164493

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Karl Gustaf Gordon Hamina III was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1984. Karl had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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). KARL HAMINA; NON INVESTMENT RELATED; 6 INTERNATIONAL DRIVE, RYE BROOK, NY 10573-1068; INSURANCE; SALES MANAGER; 05/01/1981-CURRENT; 120 HOURS/MONTH; 120 DURING SECURITIES TRADING HOURS/MONTH; SALES OF INSURANCE PRODUCTS LIFE, DISABILTIY, HOSPITAL INDEMNITY AND LTC. 2). FAI ADVISORS; YES INVESTMENT RELATED; 39395 W TWELVE MILE ROAD, SUITE 102, FARMINGTON HILL, MI 48331; REGISTERED INVESTMENT ADVISORS; IAR; 06/01/2006-CURRENT; 2 HOURS/MONTH; 2 HOURS DURING SECURITIES TRADING HOURS/MONTH; REVIEW AND EVALUATE INVESTMENT PERFORMANCE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 18, 2010 - December 31, 2020

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

FARMINGTON HILL, MI

Past

January 28, 2010 - September 25, 2023

FAI ADVISORS, INC.

RIA

CRD#: 122132

FARMINGTON HILLS, MI

Past

February 22, 2006 - December 31, 2020

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

FARMINGTON HILLS, MI

Past

February 19, 2004 - December 31, 2005

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

FARMINGTON HILLS, MI

Past

December 5, 2000 - February 25, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 1, 1991 - December 5, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 3, 1991 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

May 23, 1989 - December 31, 1990

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 8, 1987 - May 23, 1989

PENNSYLVANIA SECURITIES COMPANY

CRD#: 7667

Past

July 3, 1986 - December 11, 1987

RONEY & CO. L.L.C.

CRD#: 900

Past

September 20, 1984 - July 23, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 27, 1984 - October 26, 1984

PENNSYLVANIA SECURITIES COMPANY

CRD#: 7667

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/12/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONIMCO-52 FIRM BROCHURE ADV 2A 05-14-2025 (5/14/2025)

ONIMCO-52 FIRM BROCHURE ADV 2A 03-26-2025 (5/14/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karl G. Hamina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FAI ADVISORS, INC.

THE O.N. EQUITY SALES COMPANY

THE O.N. EQUITY SALES COMPANY

WALNUT STREET SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

PENNSYLVANIA SECURITIES COMPANY

RONEY & CO. L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PENNSYLVANIA SECURITIES COMPANY

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2009

Series 63

Date: 8/18/1983

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 6

Date: 12/30/1983

Series 26

Date: 8/12/1997

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

Similar Advisors