DL
David V. Ludwinski
ON INVESTMENT MANAGEMENT CO
SMITHFIELD, UT 84335
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CRD#: 3137554
DL
Professional summary
David Vinton Ludwinski is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Smithfield, Utah and THE O.N. EQUITY SALES COMPANY located in Smithfield, Utah.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 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) LUDWINSKI Financial Inc; NOT INVESTMENT RELATED; 21 S Main ST LOGAN UT 84335; SELLING INSURANCE; AGENT; 11/01/2009-CURRENT; 120 HOURS/MONTH; 110 DURING SECURITIES TRADING HOURS/MONTH; HEALTH, LIFE, P&C, FIXED ANNUITIES, disability and LTC.
CRS (Client Relationship Summary) - RIA
Click below to view David Vinton Ludwinski'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
March 20, 2007 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 21 S Main, Smithfield, UT 84335RIA
CRD#: 105662
SMITHFIELD, UT
Current
March 15, 2007 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 21 S Main, Smithfield, UT 84335BD
CRD#: 2936
Smithfield, UT
Past
October 24, 2006 - March 20, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
LOGAN, UT
Past
January 31, 2001 - March 20, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
LOGAN, UT
Past
January 24, 2000 - December 31, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
October 21, 1998 - December 31, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
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(3/15/2007)
RR
Idaho(3/15/2007)
IAR
Idaho(5/31/2022)
RR
Illinois(7/31/2014)
RR
Montana(5/16/2008)
RR
North Carolina(1/11/2017)
RR
Oregon(3/15/2007)
RR
Texas(10/28/2024)
RR
Utah(3/15/2007)
IAR
Utah(3/20/2007)
RR
Wyoming(1/5/2017)
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
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Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Smithfield, UT 84335TRUST BUT VERIFY
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