RO
Richard D. Ogelby
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CRD#: 3016215
RO
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.
Richard Dean Ogelby, who also goes by R Dean Ogelby, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
R Dean Ogelby
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). COMPASS FINANCIAL GROUP; NON INVESTMENT RELATED; 8 Church Street,Harrisville NH 03450; SELLING INSURANCE; AGENT; 10/21/2001-CURRENT; 120 HOURS/MONTH; 120 HOURS DURING SECURITIES TRADING; SELLING LIFE, HEALTH, DISABILITY,FIXED ANNUITIES. 2). SPECIAL NEEDS TRUST; NON INVESTMENT RELATED; 8 CHURCH STREET, HARRISVILLE, NH 03450; CO-TRUSTEE; CO-TRUSTEE; 04/24/2008-CURRENT; 0 HOURS/MONTH; 0 DURING SECURITIES TRADING HOURS/MONTH; CO-TRUSTEE FOR TRUST. 3). HARRISVILLE TOWN; NON INVESTMENT RELATED; HARRISVILLE, NH 03450; CO TRUSTEE; CO-TRUSTEE; 04/24/2008-CURRENT; 1 HOURS/MONTH; 1 DURING SECURITIES TRADING HOURS/MONTH; CO TRUSTEE FOR TOWN. 4)AMERICO; NOT INVESTMENT RELATED; 300 W 11TH STREET KANSAS CITY MO 64105; FINAL EXPENSE LIFE INSURANCE; BROKER; START DATE 06/01/2013; HOURS/MONTH 4; HOURS/TRADING 4; SELLING FINAL EXPENSE LIFE INSURANCE. 5). Keene YMCA Fund Drive Committee; 200 Summit Road, Keene NH 03431; fundraising 04/11/2018-present; Fundraising Co-chairman; 2 hours/month (0 during securities trading hours); Requesting donations from YMCA members with donations given directly to YMCA.
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®
NoneExperience
Past
August 16, 2006 - September 8, 2022
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
HARRISVILLE, NH
Past
September 1, 1999 - September 8, 2022
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
HARRISVILLE, NH
Past
March 18, 1998 - September 7, 1999
POLARIS FINANCIAL SERVICES, INC.
BD
CRD#: 14521
CONCORD, NH
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
