Arno Woznicki

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CRD#: 1179435

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.

Arno Woznicki was a registered financial professional .

Arno is a previously registered financial professional and started their career in finance in 1983. Arno had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

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

June 5, 2008 - December 31, 2016

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

HAMBURG, NJ

Past

June 5, 2008 - December 31, 2016

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HAMBURG, NJ

Past

September 11, 2007 - June 12, 2008

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

PARSIPPANY, NJ

Past

December 1, 2006 - June 12, 2008

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

PARSIPPANY, NJ

Past

August 25, 2000 - December 4, 2006

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

Past

April 14, 1999 - August 25, 2000

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

December 14, 1990 - April 13, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 14, 1990 - April 13, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 2, 1988 - June 1, 1988

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

February 6, 1987 - December 31, 1990

MONARCH SECURITIES, INC.

CRD#: 2809

Past

June 2, 1986 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

March 19, 1986 - February 13, 1987

SUMMIT EQUITIES, INC.

CRD#: 11039

Past

April 25, 1984 - April 7, 1986

NEW ENGLAND SECURITIES

CRD#: 615

Past

August 29, 1983 - April 10, 1984

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

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

Series 63

Date: 5/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

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: 8/19/1983

Investment Company Products/Variable Contracts Representative 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)

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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)

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.

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Firm Stability Insights

Arno Woznicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

WORLD INVESTMENTS, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MML INVESTORS SERVICES, LLC

MONARCH SECURITIES, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

SUMMIT EQUITIES, INC.

NEW ENGLAND SECURITIES

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1985

SIE

Date: 12/31/2016

Series 7

Date: 9/15/1984

Series 6

Date: 8/19/1983

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

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