RB
Richard P. Boccaccio
ON INVESTMENT MANAGEMENT CO
Lyme, CT 06371
Some features on this profile are disabled
CRD#: 1330933
RB
Professional summary
Richard Paul Boccaccio JR, who also goes by Richard P Boccaccio, Richard Paul Boccaccio, Rick Boccaccio Jr, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lyme, Connecticut and THE O.N. EQUITY SALES COMPANY located in Lyme, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard P Boccaccio | Richard Paul Boccaccio | Rick Boccaccio Jr
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) BOCCACCIO & ASSOCIATES; NOT INVESTMENT RELATED; 9 Parkside Drive Lyme CT 06371 ; LIFE AND HEALTH INSURANCES SALES; SOLE PROPRIETOR, OWNER; START DATE: 01/01/1984; 80 HOURS/MONTH (20 HOURS DURING TRADING); THE SALE OF LIFE AND HEALTH INSURANCE and Property & Casualty insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Paul Boccaccio JR'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 24, 2012 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 9 Parkside Drive, Lyme, CT 06371RIA
CRD#: 105662
Lyme, CT
Current
January 24, 2012 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 9 Parkside Drive, Lyme, CT 06371BD
CRD#: 2936
Lyme, CT
Past
January 2, 2001 - January 26, 2012
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GLASTONBURY, CT
Past
May 3, 1999 - January 26, 2012
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GLASTONBURY, CT
Past
June 27, 1990 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
November 24, 1989 - December 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 19, 1989 - December 7, 1989
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 23, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
March 12, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
March 12, 1987 - May 27, 1988
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
July 24, 1985 - March 13, 1987
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
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
Connecticut(1/24/2012)
IAR
Connecticut(1/24/2012)
RR
Florida(1/24/2012)
RR
Massachusetts(1/24/2012)
RR
New York(1/24/2012)
RR
Rhode Island(2/5/2018)
RR
Tennessee(7/10/2017)
Exams
State Security Law Exam
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
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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.
