DT
Dennis L. Travis
ON INVESTMENT MANAGEMENT CO
Pittsburgh, PA 15238
Some features on this profile are disabled
CRD#: 2166809
DT
Professional summary
Dennis Lee Travis, who also goes by Dennis Le Travis, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Pittsburgh, Pennsylvania and THE O.N. EQUITY SALES COMPANY located in Pittsburgh, Pennsylvania.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Dennis has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Le Travis
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)TAX PREPARER; NOT INVESTMENT RELATED; 203 Kensington CT PITTSBURGH, PA 15238;PREPARES TAX RETURNS AND DOES TAX CONSULTING; TAX PREPARER; 06/01/1960; 5 HRS/WEEK (5 HOURS DURING MARKET HOURS); TAX RETURN PREPARATION AND TAX CONSULTING.2) DENNIS TRAVIS; NOT INVESTMENT RELATED; 1100 WASHINGTON AVENUE CARNEGIE PA 15106; LIFE SETTLEMENT; START DATE: 08/14/2011; 0 HOURS PER MONTH; TRYING TO HELP A LONG TIME CLIENT.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Lee Travis'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 26, 2011 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 203 Kensington Ct, Pittsburgh, PA 15238RIA
CRD#: 105662
Pittsburgh, PA
Current
January 26, 2011 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Pittsburgh, PA
Past
September 4, 2007 - December 17, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PITTSBURGH, PA
Past
December 2, 1991 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PITTSBURGH, PA
Past
December 2, 1991 - December 17, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PITTSBURGH, PA
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(1/26/2011)
IAR
California(1/26/2011)
RR
Florida(4/11/2011)
IAR
Florida(2/22/2012)
RR
Massachusetts(3/21/2011)
IAR
Massachusetts(3/24/2011)
RR
New Jersey(3/15/2011)
IAR
New Jersey(3/28/2011)
RR
Ohio(7/11/2025)
IAR
Ohio(7/11/2025)
RR
Pennsylvania(1/27/2011)
IAR
Pennsylvania(1/27/2011)
RR
Texas(9/15/2017)
RR
Virginia(1/26/2011)
IAR
Virginia(1/26/2011)
Exams
State Security Law Exam
State Security Law 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.
