JS
John S. Scott
ON INVESTMENT MANAGEMENT CO
Franklin, TN 37064
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CRD#: 3072293
JS
Professional summary
John Samuel Scott, CFP® is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Franklin, Tennessee and THE O.N. EQUITY SALES COMPANY located in Franklin, Tennessee.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Samuel 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®
Experience
Current
August 1, 2016 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1553 Fleetwood Drive, Franklin, TN 37064RIA
CRD#: 105662
Franklin, TN
Current
August 1, 2016 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Franklin, TN
Past
September 22, 2014 - August 1, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
BRENTWOOD, TN
Past
September 22, 2014 - August 1, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BRENTWOOD, TN
Past
March 29, 2012 - September 4, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BRENTWOOD, TN
Past
March 20, 2012 - September 4, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BRENTWOOD, TN
Past
April 13, 2006 - June 10, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MOUNT JULIET, TN
Past
January 31, 2006 - June 10, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MOUNT JULIET, TN
Past
September 7, 2005 - January 13, 2006
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
April 29, 2003 - May 4, 2005
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
March 7, 2002 - April 22, 2002
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
BD
CRD#: 35419
CHARLOTTE, NC
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
Alabama(1/3/2024)
IAR
Alabama(1/3/2024)
IAR
California(8/1/2016)
RR
California(8/31/2017)
RR
Colorado(5/15/2024)
IAR
Colorado(5/15/2024)
IAR
Florida(8/11/2021)
IAR
Illinois(4/15/2021)
RR
Illinois(4/21/2021)
RR
Kentucky(8/1/2016)
RR
Nevada(8/1/2016)
IAR
Nevada(8/4/2016)
RR
North Carolina(8/1/2016)
IAR
North Carolina(4/11/2018)
RR
Tennessee(8/1/2016)
IAR
Tennessee(8/1/2016)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
