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Emily Prendiville

Some features on this profile are disabled
CRD#: 1435084
EP

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.

Emily Prendiville, who also goes by Emily Willett Prendiville, Emily W Ranck, Emily Willett Ranck, Dorothy Emily Willett, was a registered financial professional .

Emily is a previously registered financial professional and started their career in finance in 1985. Emily had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emily Willett Prendiville | Emily W Ranck | Emily Willett Ranck | Dorothy Emily Willett

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

September 12, 2012 - July 3, 2019

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
Thompson's Station, TN
Past

September 12, 2012 - July 3, 2019

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Thompson's Station, TN
Past

January 20, 2001 - September 19, 2012

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEEDHAM, MA
Past

April 5, 2000 - September 19, 2012

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEEDHAM, MA
Past

July 18, 1997 - April 3, 2000

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

December 4, 1985 - August 1, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 4, 1985 - August 1, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/11/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/1985
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts12,053
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.

Company Information

ON INVESTMENT MANAGEMENT CO

CRD#: 105662

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