FC
Frank J. Cariola
ON INVESTMENT MANAGEMENT CO
KING OF PRUSSIA, PA
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CRD#: 1198609
FC
Professional summary
Frank John Cariola is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in King Of Prussia, Pennsylvania and THE O.N. EQUITY SALES COMPANY located in King Of Prussia, Pennsylvania.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 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)CORNERSTONE STRATEGIES LLC; NOT INVESTMENT RELATED; 601 BOXFORD CIRCLE KING OF PRUSSIA, PA 19406; LIFE INSURANCE,DISABILITY,LONG TERM CARE,LIFE INSURANCE SURVIVORSHIP LIFE; START DATE: 10/1978; 400 HOURS PER MONTH(80 HOURS DURING TRADING HOURS) 2)GIDEONS INTERNATIONAL; NOT INVESTMENT RELATED; PO BOX 140800 NASHVILLE TN 57214; BIBLE SOCIETY; MEMBERSHIP CHARMAN; START DATE: 07/1992; 12 HOURS PER MONTH(2 HOURS DURING TRADING HOURS) HELP MAINTAIN MEMBERSHIP; DISTRIBUTE BIBLES ON A GLOBAL SCALE, SCHOOLS, PRISONS, HOSPITALS, AND HOTELS.
CRS (Client Relationship Summary) - RIA
Click below to view Frank John Cariola'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
April 15, 2010 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
KING OF PRUSSIA, PA
Current
April 8, 2010 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
KING OF PRUSSIA, PA
Past
January 12, 2009 - April 13, 2010
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
ARDMORE, PA
Past
January 12, 2009 - April 13, 2010
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
ARDMORE, PA
Past
October 13, 2004 - November 5, 2008
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WAYNE, PA
Past
October 13, 2004 - November 5, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BERWYN, PA
Past
June 21, 2002 - October 1, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NEWTOWN SQUARE, PA
Past
November 7, 1983 - October 1, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
Colorado(1/11/2019)
IAR
Florida(12/21/2018)
RR
Maryland(4/8/2010)
IAR
Maryland(10/18/2010)
RR
Massachusetts(4/8/2010)
IAR
Massachusetts(10/19/2010)
RR
Pennsylvania(4/8/2010)
IAR
Pennsylvania(4/15/2010)
IAR
Texas(3/22/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
