Kenneth R. Kendall

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CRD#: 267590

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.

Kenneth Richard Kendall, who also goes by Ken Kendall, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1971. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Kendall

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 8, 2006 - January 3, 2022

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

FLOWER MOUND, TX

Past

August 24, 2006 - December 31, 2021

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

FLOWER MOUND, TX

Past

March 24, 1994 - August 28, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

FLOWER MOUND, TX

Past

March 9, 1994 - August 28, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

FLOWER MOUND, TX

Past

July 10, 1991 - March 11, 1994

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

November 17, 1988 - July 11, 1991

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

January 1, 1987 - June 28, 1988

VERAVEST INVESTMENTS, INC.

CRD#: 3960

Past

July 27, 1971 - October 30, 1980

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

July 1, 1971 - August 14, 1971

MM EQUITY SALES CO.

CRD#: 3840

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

Series 63

Date: 12/30/1986

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: 4/30/1996

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/12/1994

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1986

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 6/24/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/14/1997

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Kenneth R. Kendall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

CUNA BROKERAGE SERVICES, INC.

FORTH FINANCIAL SECURITIES, CORPORATION

VERAVEST INVESTMENTS, INC.

LINSCO FINANCIAL GROUP, INC.

MM EQUITY SALES CO.

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/30/1996

Series 22

Date: 8/12/1994

Series 6

Date: 12/30/1986

Series 1

Date: 6/24/1971

Series 24

Date: 1/14/1997

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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