RW
Robert E. Walker
ON INVESTMENT MANAGEMENT CO
THOUSAND OAKS, CA 91362
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CRD#: 1330047
RW
Professional summary
Robert Eugene Walker, who also goes by Bob Walker, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Thousand Oaks, California and THE O.N. EQUITY SALES COMPANY located in Westlake Village, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Walker
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) ROBERT WALKER; NOT INVESTMENT RELATED; 2945 TOWNSGATE ROAD, SUITE 200 WESTLAKE VILLAGE CA 91361 ; INSURANCE SALES; AGENT; START DATE 06/01/1982; HOURS/MONTH 10; HOURS/TRADING 5; SELLING LIFE AND HEALTH INSURANCE.
2) WEALTH CORNERSTONES; INVESTMENT RELATED; 2945 TOWNSGATE ROAD, SUITE 200 WESTLAKE VILLAGE, CA 91361; ALL INSURANCE & INVESTMENT BUSINESS TO BE MARKETED; CEO, CHAIRMAN, OWNER; 09/01/2013 ; 160 HOURS PER MONTH ( 160 HOURS PER MONTH); RECRUITING & DEVELOPING OF ASSOCIATES GROWTH OF FIRM & SALES. INSURANCE LINES OFFERED: LIFE, DISABILITY, LONG TERM CARE AND HEALTH.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Eugene Walker'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
January 4, 2013 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 3454 Indian Ridge Circle, Thousand Oaks, CA 91362RIA
CRD#: 105662
THOUSAND OAKS, CA
Current
December 6, 2012 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
WESTLAKE VILLAGE, CA
Past
October 6, 2003 - May 9, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WESTLAKE VILLAGE, CA
Past
October 6, 2003 - May 9, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WESTLAKE VILLAGE, CA
Past
December 14, 1998 - October 2, 2003
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
AGOURA HILLS, CA
Past
April 3, 1996 - October 2, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
July 16, 1992 - April 8, 1994
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
July 2, 1986 - March 28, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Past
June 27, 1986 - July 9, 1986
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
California(12/6/2012)
IAR
California(1/4/2013)
RR
Florida(4/3/2018)
RR
Idaho(1/29/2020)
RR
Indiana(2/16/2018)
IAR
Indiana(2/16/2018)
RR
Nevada(4/3/2018)
RR
Oregon(1/29/2020)
RR
Washington(8/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product 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
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.
