DS
David E. Smyth
ON INVESTMENT MANAGEMENT CO
LEXINGTON, KY 40509
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CRD#: 3269211
DS
Professional summary
David Edward Smyth is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lexington, Kentucky and THE O.N. EQUITY SALES COMPANY located in Lexington, Kentucky.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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) FAMILY FINANCIAL PARTNERS; NOT INVESTMENT RELATED; 1792 ALYSHEBA WAY STE 201 LEXINGTON KY 40509; SENIOR PARTNER; START DATE: 08/01/2005; 40 HOURS PER MONTH(40 HOURS DURING TRADING HOURS) SELLING LIFE,HEALTH, DISABILITY, LONG TERM CARE AND FIXED ANNUITIES. 2) FAMILY FINANIAL HOLDINGS, LLC; NOT INVESTMENT RELATED; 1792 ALYSHEBA WAY STE 201 LEXINGTON KY 40509; REAL ESTATE; MANAGING PARTNER; START DATE: 08/01/2005; 4 HOURS PER MONTH(0 HOURS DURING TRADING HOURS) OVERSIGHT OF PARTNERSHIP AND RECORDS. 3) FAMILY FINANCIAL FOUNDATION; NOT INVESTMENT RELATED; 1792 ALYSHEBA WAY STE 201 LEXINGTON KY 40509; 501C-3 CHARITABLE ENTITY; PRESIDENT; START DATE: 02/05/2010; 10 HOURS PER MONTH(0 HOURS DURING TRADING) TO SERVE AS A DIRECTOR FOR THE NON PROFIT. THE NON-PROFIT WILL PROVIDE AND RAISE AWARENESS OF LOCAL CHARITABLE ORGANIZATIONS. 4) Thoroughbros Syndicate; not investment related; 1409 Wescott Circle Lexington KY 40509; Horse Racing; President; 11/03/2021; 20 hours/month ( 20 during security hours); Thoroughbros Syndicate was set up to hold the interests of horses I buy , race and sell 5). In My Day Podcast; Not investment related; 1792 Alysheba Way, Suite 201, Lexington, KY 40509; General financial information podcast; Host; 01/01/2021-present; 1 Hour/Month(1 Hours during securities trading hours); Podcast discussing general financial topics such as budgeting , etc; No securities-related recommendations or discussions. 6). Family Financial Partners YouTube; Not investment related; 1792 Alysheba Way, Suite 201, Lexington, KY 40509; General Financial information podcast; Host; 01/01/2021-present; 1 hours/month (1 during securities trading hours/month); YouTube channel discussing general financial topics such as budgeting, gifting, etc. No securities-related recommendations or discussions.
CRS (Client Relationship Summary) - RIA
Click below to view David Edward Smyth'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 2, 2006 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1792 Alysheba Way Suite #201, Lexington, KY 40509RIA
CRD#: 105662
LEXINGTON, KY
Current
August 1, 2005 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1792 Alysheba Way Suite #201, Lexington, KY 40509BD
CRD#: 2936
Lexington, KY
Past
September 1, 1999 - August 1, 2005
INTERACTIVE PLANNING CORP.
BD
CRD#: 40261
LEXINGTON, KY
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
California(8/1/2005)
IAR
California(9/15/2011)
RR
Colorado(5/7/2014)
IAR
Colorado(11/1/2024)
RR
Connecticut(11/15/2017)
IAR
Connecticut(11/16/2017)
RR
District of Columbia(10/20/2015)
IAR
District of Columbia(11/2/2015)
RR
Florida(8/1/2005)
IAR
Florida(2/18/2011)
RR
Georgia(8/1/2005)
IAR
Georgia(2/1/2010)
RR
Indiana(8/1/2005)
IAR
Indiana(5/12/2011)
RR
Kansas(7/12/2024)
RR
Kentucky(8/1/2005)
IAR
Kentucky(3/2/2006)
IAR
Louisiana(1/15/2025)
RR
Maine(2/5/2025)
IAR
Maine(2/7/2025)
RR
Maryland(4/11/2017)
IAR
Maryland(8/14/2019)
RR
Massachusetts(7/23/2014)
IAR
Massachusetts(5/7/2018)
RR
Michigan(8/27/2010)
IAR
Michigan(9/28/2010)
RR
Mississippi(11/21/2014)
IAR
Mississippi(12/11/2014)
RR
Missouri(2/16/2006)
IAR
Missouri(10/21/2015)
RR
Nevada(3/6/2014)
IAR
Nevada(3/17/2014)
RR
New Hampshire(3/8/2006)
IAR
New Hampshire(10/20/2022)
RR
New Mexico(1/15/2021)
IAR
New Mexico(1/19/2021)
RR
New York(7/7/2022)
IAR
New York(8/18/2023)
IAR
North Carolina(3/26/2020)
RR
North Carolina(6/1/2021)
RR
Ohio(8/1/2005)
IAR
Ohio(6/10/2013)
IAR
Pennsylvania(8/13/2021)
RR
Pennsylvania(7/6/2023)
RR
South Carolina(7/15/2013)
IAR
South Carolina(9/19/2017)
RR
Tennessee(8/23/2016)
IAR
Texas(1/25/2013)
RR
Texas(1/23/2014)
RR
Virginia(9/28/2020)
IAR
Virginia(11/14/2024)
RR
Washington(8/1/2005)
IAR
Washington(1/29/2010)
IAR
West Virginia(4/29/2022)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Lexington, KY 40509TRUST BUT VERIFY
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