DD
Dennis M. Dean
ON INVESTMENT MANAGEMENT CO
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 3204153
DD
Professional summary
Dennis Michael Dean, who also goes by Dennis M Dean, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Chicago, Illinois and THE O.N. EQUITY SALES COMPANY located in Chicago, Illinois.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis M Dean
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). Dean Insurance & Fianncial; not investment related;1327 W. Washington Blvd, Suite 4A, Chicago IL 60607; Agent; 10 Hours/month ( 8 during market hours); sell life insurance, LTC, disability, health, fixed and immediate annuity products and accident insurance. 2). Board Member of Kiwanis Club of Lindenhurst/the lakes; 1075 Victory Lane, Lindenhurst, IL 60046; board member; 04/01/2004-present; 10 Hours/month (4 during security market hours); help club with community events. We have projects throughout the year. 3). Commercial Property and Casualty insurance sales; not investment related; 4245 North Knox Avenue, Chicago, IL 60641; Agent; 08/01/2016-present; 60 hours/month( 40 hours during market hours); sell commercial, life, and disability insurance to individuals.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Dean'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
April 11, 2017 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1327 W. Washington Blvd Suite 4a, Chicago, IL 60607RIA
CRD#: 105662
Chicago, IL
Current
April 11, 2017 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1327 W. Washington Street Suite 4a, Chicago, IL 60607BD
CRD#: 2936
Chicago, IL
Past
February 26, 2014 - February 16, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CHICAGO, IL
Past
February 1, 2014 - February 16, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CHICAGO, IL
Past
March 21, 2013 - January 22, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
CHICAGO, IL
Past
April 23, 2008 - January 22, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
CHICAGO, IL
Past
June 1, 1999 - April 2, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LINDENHURST, IL
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(2/28/2022)
IAR
Arizona(3/9/2022)
IAR
Florida(2/17/2025)
RR
Illinois(4/11/2017)
IAR
Illinois(4/11/2017)
RR
Indiana(4/20/2022)
IAR
Indiana(4/21/2022)
IAR
Nebraska(1/21/2025)
RR
Ohio(4/11/2017)
IAR
Ohio(4/11/2017)
RR
Texas(3/27/2025)
IAR
Texas(3/27/2025)
IAR
Wisconsin(2/21/2023)
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.
