PS
Patty K. Scott
ON INVESTMENT MANAGEMENT CO
Cincinnati, OH 45249
Some features on this profile are disabled
CRD#: 2797415
PS
Professional summary
Patty Kelley Scott, who also goes by Patricia Lynn Kelley, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Cincinnati, Ohio and THE O.N. EQUITY SALES COMPANY located in Cincinnati, Ohio.
Patty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patty has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Lynn Kelley
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.) Got 52 Wealth Management; not investment related; 9435 Waterstone Blvd Suite 280 Cincinnati OH 45249; Insurance Sales; Agent; 02/21/2016; 40 hours/month (160 during market hours); Traditional life, disability and fixed. 2). Heart 4 Seniors; not investment related; 971 Columbia Road, Hamilton, OH 45013; non profit; my mom fell and broke her hip a year ago. She is 87 years old. 09/19/2024-present; 5 hours/month (0 securities trading hours/month); raise awareness regarding disabled seniors and locating services to assist with mobility.
CRS (Client Relationship Summary) - RIA
Click below to view Patty Kelley Scott'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
April 5, 2016 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 9435 Waterstone Blvd Suite 280, Cincinnati, OH 45249RIA
CRD#: 105662
Cincinnati, OH
Current
April 5, 2016 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 9435 Waterstone Blvd Suite 280, Cincinnati, OH 45249BD
CRD#: 2936
Cincinnati, OH
Past
July 7, 2011 - April 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CINCINNATI, OH
Past
March 9, 2011 - April 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CINCINNATI, OH
Past
August 10, 2009 - March 14, 2011
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CINCINNATI, OH
Past
April 18, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 2, 2004 - January 14, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WEST CHESTER, OH
Past
June 6, 2001 - October 8, 2004
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
November 29, 2000 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
November 22, 1996 - July 1, 1998
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arizona(7/30/2025)
IAR
Arizona(9/8/2025)
RR
California(4/5/2016)
IAR
California(4/5/2016)
RR
Florida(4/5/2016)
IAR
Florida(6/16/2021)
RR
Georgia(7/23/2020)
IAR
Georgia(4/21/2021)
IAR
Indiana(4/6/2016)
RR
Indiana(4/11/2016)
RR
Kentucky(4/5/2016)
IAR
Kentucky(4/7/2016)
RR
Michigan(4/18/2023)
RR
Ohio(4/5/2016)
IAR
Ohio(4/5/2016)
RR
Tennessee(7/21/2023)
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
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#: 105662Cincinnati, OH 45249TRUST BUT VERIFY
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