TF
Thomas J. Frank
ON INVESTMENT MANAGEMENT CO
Pittsburgh, PA 15234
Some features on this profile are disabled
CRD#: 1170889
TF
Professional summary
Thomas James Frank, CFP®, who also goes by Thomas John Frank, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Pittsburgh, Pennsylvania and THE O.N. EQUITY SALES COMPANY located in Pittsburg, Pennsylvania.
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 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas John Frank
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) INSURANCE BROKERAGE | Investment Related: Yes | DBA Name: 21ST CENTURY FINANCIAL, I | Position Held: Agent | Address: 300 MT. LEGBANON BLVD., PITTSBURGH, PA 15234, | Start Date: 08/18/2010 | Nature of Activity: Multi-Line Insurance Brokerage | Approx Hrs Per Mth: 101-140 Hrs | Approx Trading Hrs Per Mth: 101-140 Hrs | Description of Duties: SALE OF LIFE, DISABILITY, MEDICAL, LTC AND ANNUITY INSURANCE PRODUCTS.
2) INSURANCE BROKERAGE | Investment Related: Yes | DBA Name: VERRICO INSURANCE AGENCY, | Position Held: Agent | Address: 339 OLD HAYMAKER ROAD, MONROEVILLE, PA 15146, | Start Date: 01/01/2013 | Nature of Activity: Property/Casualty Insurance | Approx Hrs Per Mth: 10-25 Hrs | Approx Trading Hrs Per Mth: Less Than 10 Hrs | Description of Duties: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS/SALE OF HOMEOWNER AND AUTOMOBILE INSURANCE.
3) INSURANCE BROKERAGE | Investment Related: Yes | DBA Name: JAMES L. SMITH INSURANCE AGENCY, | Position Held: Agent | Address: 304 COCHRAN ROAD, PITTSBURGH, PA 15228, | Start Date: 01/01/2013 | Nature of Activity: Property/Casualty Insurance | Approx Hrs Per Mth: 10-25 Hrs | Approx Trading Hrs Per Mth: Less Than 10 Hrs | Description of Duties: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS/PROP/CASUALTY INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Frank'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: 1987
Experience
Current
April 13, 2017 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 300 Mt. Lebanon Boulevard Suite 224, Pittsburgh, PA 15234RIA
CRD#: 105662
Pittsburgh, PA
Current
April 13, 2017 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 300 Mt Lebanon Boulevard Suite 224, Pittsburg, PA 15234BD
CRD#: 2936
Pittsburg, PA
Past
August 18, 2010 - April 14, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
PITTSBURGH, PA
Past
August 18, 2010 - April 14, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
PITTSBURGH, PA
Past
January 2, 2009 - August 18, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
PITTSBURGH, PA
Past
February 28, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
PITTSBURGH, PA
Past
March 13, 1987 - August 18, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PITTSBURGH, PA
Past
January 25, 1984 - March 19, 1987
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
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
Pennsylvania(4/13/2017)
IAR
Pennsylvania(4/13/2017)
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
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)
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.
