Troy D. Sockler

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CRD#: 1398072

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.

Troy Douglas Sockler was a registered financial professional .

Troy is a previously registered financial professional and started their career in finance in 1986. Troy had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

1) TROY SOCKLER; 4025 Automation Way C1, Windsor, CO 80525; FIXED INSURANCE PRODUCTS; TERM, ANNUITIES, LONG TERM CARE, UNIVERSAL LIFE; SALES; START DATE: 06/01/1999; 4 HOURS PER MONTH(4 HOURS DURING TRADING HOURS)

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

October 9, 2003 - January 2, 2024

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Fort Collins, CO

Past

September 22, 2003 - July 13, 2012

REA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 127485

FORT COLLINS, CO

Past

October 19, 2001 - January 2, 2024

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Fort Collins, CO

Past

October 22, 1999 - October 19, 2001

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

March 23, 1998 - October 25, 1999

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

February 28, 1994 - October 17, 1997

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 13, 1990 - March 1, 1994

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 4, 1990 - July 31, 1990

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

August 1, 1988 - November 25, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

August 1, 1988 - November 25, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 20, 1986 - July 21, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

IAR

Series 66

Date: 11/30/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities 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

Troy D. Sockler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REA CAPITAL MANAGEMENT, LLC

THE O.N. EQUITY SALES COMPANY

CETERA ADVISORS LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

CETERA WEALTH SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CAL FED INVESTMENTS

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2000

Series 63

Date: 4/29/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

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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