Hardev P. Goswami

ON INVESTMENT MANAGEMENT CO

Jacksonville, FL

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CRD#: 4188689

Professional summary

Hardev Prempuri Goswami, CFP®, who also goes by Dev Goswami, Hardevpuri Prempuri Goswami, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Jacksonville, Florida and THE O.N. EQUITY SALES COMPANY located in Jacksonville, Florida.

Hardev is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Hardev has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dev Goswami | Hardevpuri Prempuri Goswami

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.) HArdev Goswami; 14420 Serenoa Drive, JACKSONVILLE FL 32258; sales; owner; 03/01/2000-present; 60 Hours/Month (30 during Market hours);DISABILITY/LIFE/ACCIDENT/HEALTh.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hardev Prempuri Goswami's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

March 18, 2016 - Present

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Jacksonville, FL

Current

March 18, 2016 - Present

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Jacksonville, FL

Past

January 2, 2015 - April 6, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

JACKSONVILLE, FL

Past

January 2, 2015 - April 6, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

JACKSONVILLE, FL

Past

January 12, 2011 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

JACKSONVILLE, FL

Past

December 6, 2010 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

JACKSONVILLE, FL

Past

July 7, 2004 - December 3, 2010

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

ORANGE PARK, FL

Past

May 3, 2002 - December 3, 2010

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

ORANGE PARK, FL

Past

September 11, 2000 - March 15, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 29, 2000 - September 12, 2000

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

June 29, 2000 - September 12, 2000

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(3/18/2016)

IAR

Florida
(3/30/2016)

Oklahoma
(6/30/2023)

Texas
(3/18/2016)

IAR

Texas
(3/18/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/28/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONIMCO-52 FIRM BROCHURE ADV 2A 05-14-2025 (5/14/2025)

ONIMCO-52 FIRM BROCHURE ADV 2A 03-26-2025 (5/14/2025)

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.

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Hardev P. Goswami

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hardev Prempuri Goswami's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

WALNUT STREET SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2004

Series 63

Date: 6/10/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2017

Series 6

Date: 6/28/2000

FINRA

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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