BK
Brian M. Keswick
ON INVESTMENT MANAGEMENT CO
WILSONVILLE, OR
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CRD#: 2891172
BK
Professional summary
Brian Michael Keswick, who also goes by Brian Keswick, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Wilsonville, Oregon and THE O.N. EQUITY SALES COMPANY located in Wilsonville, Oregon.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Keswick
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)LAKE OSWEGO HS; NOT INVESTMENT RELATED; 2501 COUNTRY CLUB ROAD OSWEGO OR 97034; ASSISTANT COACH FOR HS BASEBALL TEAM; COACH; 01/01/05-CURRENT; 15 HOURS/MONTH; 15 HOURS DURING SECURITIES TRADING; I COACH HIGH SCHOOL BASEBALL. 2). Insurance Sales; not investment related; 11813 SW Grenoble Street, Wilsonville OR 97070; 01/01/2008-present; 160 hours/month (130 during market hours); sale life and disability insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Michael Keswick'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 29, 2008 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
WILSONVILLE, OR
Current
January 22, 2008 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
WILSONVILLE, OR
Past
December 3, 2007 - December 21, 2007
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
WILSONVILLE, OR
Past
October 23, 2006 - December 4, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
PORTLAND, OR
Past
September 17, 2004 - October 9, 2006
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
PORTLAND, OR
Past
September 17, 2004 - October 9, 2006
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
PORTLAND, OR
Past
August 27, 2004 - September 10, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LAKE O"SWEGO, OR
Past
August 27, 2004 - September 10, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 15, 2003 - September 23, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, OR
Past
June 16, 1998 - September 23, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(1/22/2008)
RR
Oregon(1/22/2008)
IAR
Oregon(1/29/2008)
RR
Texas(4/21/2014)
RR
Washington(1/22/2008)
Exams
State Security Law Exam
State Security Law 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.
