PE
Paul S. Elkind
ON INVESTMENT MANAGEMENT CO
AMESBURY, MA
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CRD#: 3157954
PE
Professional summary
Paul Steven Elkind is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Amesbury, Massachusetts and THE O.N. EQUITY SALES COMPANY located in Amesbury, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, 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.
1) PAUL ELKIND; NOT INVESTMENT RELATED; 17 GARDNER STREET AMESBURY MA 01913; INSURANCE SALES; AGENT; START DATE 11/10/2013; HOURS/MONTH 80; HOURS/TRADING 60; SELL LIFE, HEALTH, DISABILITY, AND LONG TERM CARE INSURANCE, FIXED ANNUITIES, AND EQUITY INDEXED ANNUITIES UNDER MY OWN NAME
CRS (Client Relationship Summary) - RIA
Click below to view Paul Steven Elkind'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
February 13, 2014 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
AMESBURY, MA
Current
February 3, 2014 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
AMESBURY, MA
Past
February 26, 2009 - January 8, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LOWELL, MA
Past
July 18, 2006 - February 24, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
March 28, 2006 - February 24, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
November 16, 2004 - February 1, 2006
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WALTHAM, MA
Past
April 6, 2004 - February 1, 2006
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 15, 1999 - October 18, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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
California(10/27/2014)
RR
California(1/2/2021)
RR
Hawaii(12/4/2014)
IAR
Maryland(6/24/2019)
RR
Massachusetts(2/3/2014)
IAR
Massachusetts(2/19/2014)
RR
Oregon(4/3/2020)
IAR
Pennsylvania(4/19/2024)
RR
Pennsylvania(2/28/2025)
RR
Rhode Island(7/2/2021)
IAR
Rhode Island(7/6/2021)
RR
Vermont(7/16/2014)
IAR
Vermont(6/9/2016)
RR
Virginia(9/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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.
