DD
Douglas B. Doster
ON INVESTMENT MANAGEMENT CO
MEMPHIS, TN 38117
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CRD#: 2458499
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Professional summary
Douglas Baugh Doster is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Memphis, Tennessee and THE O.N. EQUITY SALES COMPANY located in Memphis, Tennessee.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Douglas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) DOSTER FINANCIAL; NOT INVESTMENT RELATED; 5101 Wheelis Drive, Suite 305 MEMPHIS TN 38117; INSURANCE SALES; AGENT; 07/01/1995-CURRENT; 60 TO 80 HOURS/MONTH; 60 TO 80 DURING SECURITIES TRADING HOURS/MONTH SELLING LIFE & HEALTH INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Baugh Doster'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
August 3, 2004 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 606 S Mendenhall Suite 302, Memphis, TN 38117RIA
CRD#: 105662
MEMPHIS, TN
Current
August 2, 2004 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 5101 Wheelis Drive Suite 305, Memphis, TN 38117BD
CRD#: 2936
Memphis, TN
Past
March 31, 2004 - August 3, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MEMPHIS, TN
Past
January 4, 2000 - August 3, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 3, 1997 - January 5, 2000
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
January 11, 1996 - October 16, 1997
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
April 25, 1994 - January 4, 1996
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
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
Arkansas(8/2/2004)
IAR
Arkansas(5/17/2010)
RR
Florida(7/29/2011)
RR
Georgia(8/2/2023)
RR
Mississippi(8/2/2004)
IAR
Mississippi(5/20/2010)
RR
Oklahoma(2/5/2014)
RR
South Carolina(9/19/2011)
RR
Tennessee(8/2/2004)
IAR
Tennessee(8/3/2004)
RR
Texas(3/25/2011)
IAR
Texas(3/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Memphis, TN 38117TRUST BUT VERIFY
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