TP
Trevor W. Pfrang
ON INVESTMENT MANAGEMENT CO
APPLETON, WI 54914
Some features on this profile are disabled
CRD#: 2846614
TP
Professional summary
Trevor Warren Pfrang is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Appleton, Wisconsin and THE O.N. EQUITY SALES COMPANY located in Appleton, Wisconsin.
Trevor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Trevor has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) TREVOR PFRANG; NOT INVESTMENT REALTED: 831 W. Northland Ave, APPLETON WI 54914;SELLING LIFE DISABILITY INSURANCE; AGENT 01/01/1997-CURRENT; 100 HOURS/MONTH(100 DURING SECURITIES TRADING HOURS); I SELL THE ABOVE MENTIONED PRODUCTS. 2)4 ACES LLC; NOT INVESTMENT RELATED; 3107 E GAZEBOHILL RD APPLETON WI 54913; REAL ESTATE; OWNER; START DATE 05/14/2013; HOURS/MONTH 10; HOURS/TRADING 10; RENT COLLECTION, TAX AND BILL PAYMENT, MAINTENANCE. 3) KGP Partnership LLC; not investment related; N3332 ASh LAke Trail Appleton WI 54913; real estate; owner; 03/2021; 2 hours ( 0 during security hour); property management
CRS (Client Relationship Summary) - RIA
Click below to view Trevor Warren Pfrang'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
June 9, 2003 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 831 W. Northland Ave, Appleton, WI 54914RIA
CRD#: 105662
APPLETON, WI
Current
January 23, 2003 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 831 W. Northland Ave, Appleton, WI 54914BD
CRD#: 2936
APPLETON, WI
Past
April 16, 2009 - July 29, 2013
WISCONSIN FINANCIAL ADVISORS, LLC
RIA
CRD#: 149220
APPLETON, WI
Past
August 17, 2001 - February 7, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 18, 1998 - August 3, 2001
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
February 21, 1997 - January 27, 1998
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
IAR
Arizona(6/2/2017)
RR
Arizona(3/1/2019)
RR
Arkansas(2/27/2014)
IAR
Arkansas(4/22/2016)
IAR
Colorado(1/5/2020)
RR
Colorado(9/27/2023)
RR
Florida(2/26/2016)
IAR
Florida(4/27/2016)
RR
Georgia(7/15/2009)
IAR
Georgia(4/29/2020)
RR
Illinois(9/12/2008)
IAR
Illinois(1/10/2013)
IAR
Indiana(4/4/2024)
RR
Kansas(10/13/2021)
IAR
Kansas(10/14/2021)
RR
Kentucky(5/18/2015)
IAR
Massachusetts(11/13/2025)
RR
Michigan(12/16/2016)
IAR
Michigan(10/5/2020)
IAR
Minnesota(11/6/2013)
RR
Minnesota(1/3/2023)
RR
Montana(1/9/2025)
IAR
Montana(1/9/2025)
RR
New York(5/17/2022)
RR
North Carolina(1/4/2019)
IAR
North Carolina(7/23/2020)
RR
Oregon(3/29/2019)
RR
Wisconsin(1/23/2003)
IAR
Wisconsin(6/9/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
