AB
Allen R. Bruce
ON INVESTMENT MANAGEMENT CO
SILVER SPRING, MD 20904
Some features on this profile are disabled
CRD#: 33407
AB
Professional summary
Allen Randolph Bruce is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Silver Spring, Maryland and THE O.N. EQUITY SALES COMPANY located in Silver Spring, Maryland.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Allen has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 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) A. R. BRUCE AND COMPANY, INC: NOT INVESTMENT RELATED; 12501 PROSPERITY DRIVE SUITE 320 SILVER SPRING MD 20904-1699; INSURANCE SALES;POSITION: PRESIDENT; 04/17/1984; HOURS: 100/MONTH 80 DURING INVESTMENT HOURS; INSURANCE SALES INCLUDING TRADITIONAL LIFE, LTC, DISABILITY and FIXED ANNUITIES 2) HOWARD UNIVERSITY SCHOOL OF BUSINESS; NOT INVESTMENT RELATED; 2600 SIXTH ST NW WASHINGTON DC 20059; FINANCIAL PLANNING CLASS; GUEST LECTURER; 10/01/1999; ONE GUEST LECTURE PER YEAR: 90 MINUTES; I SERVE AS A GUEST LECTURER AT THE HOWARD UNIVERSITY SCHOOL OF BUSINESS FOR DR. WILLIAM BARBEE'S CHARTERED FINANCIAL CONSULTANT CLASS (PART OF THE AMERICAN COLLEGE CURRICULUM). IN ADDITION TO ADDRESSING GENERAL FINANCIAL SUBJECTS IN A BRIEF WAY, DR. BARBEE ASKS ME TO TELL THE STUDENTS ABOUT WHAT I DO; WHAT MAKES A GOOD FINANCIAL ADVISOR (WILLINGNESS TO LISTEN, ETC.); HOW TO GET INTO THE BUSINESS; HOW I INTERACT WITH MY CLIENTS, ETC. 3). Headley Carter Cares Foundation; P.O. Box 161, Riverdale, MD 20738; not investment related; treasurer; 05/01/2010-present; 10 hours/month ( 3 during securities trading hours); a non profit organization new role, is used for reconciling the books only.
CRS (Client Relationship Summary) - RIA
Click below to view Allen Randolph Bruce'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
January 14, 2014 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 12501 Prosperity Drive Suite 320, Silver Spring, MD 20904RIA
CRD#: 105662
SILVER SPRING, MD
Current
January 2, 2014 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 12501 Prosperity Drive Suite 320, Silver Spring, MD 20904BD
CRD#: 2936
Silver Spring, MD
Past
February 1, 2005 - January 9, 2014
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
SILVER SPRING, MD
Past
February 1, 2005 - January 9, 2014
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
SILVER SPRING, MD
Past
December 4, 2002 - December 31, 2004
PROSPERITY ASSURANCE ADVISORY SERVICES, INC.
RIA
CRD#: 121654
SILVER SPRING, MD
Past
April 4, 2002 - February 1, 2005
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
SILVERSPRINGS, MD
Past
January 2, 2002 - February 1, 2005
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Past
February 1, 1989 - January 8, 2002
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 22, 1978 - February 8, 1989
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
July 17, 1973 - March 17, 1978
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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(12/5/2018)
RR
California(1/2/2014)
RR
Connecticut(8/16/2023)
RR
District of Columbia(1/2/2014)
IAR
District of Columbia(1/29/2014)
RR
Florida(1/2/2014)
RR
Georgia(1/2/2014)
IAR
Georgia(8/14/2025)
RR
Illinois(1/14/2020)
RR
Indiana(2/9/2022)
RR
Kansas(8/12/2025)
RR
Kentucky(8/29/2019)
RR
Louisiana(1/2/2014)
RR
Maryland(1/2/2014)
IAR
Maryland(1/14/2014)
RR
Massachusetts(1/2/2014)
RR
New Hampshire(8/29/2018)
RR
New Jersey(9/21/2023)
RR
New York(1/21/2016)
RR
North Carolina(1/21/2014)
RR
South Carolina(1/2/2014)
RR
Tennessee(5/4/2015)
RR
Texas(1/3/2019)
RR
Virginia(1/2/2014)
IAR
Virginia(9/13/2023)
RR
West Virginia(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/13/1973
Registered Representative ExaminationSRO 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.
