NW
Nathan L. Wong
ON INVESTMENT MANAGEMENT CO
SANDY, UT
Some features on this profile are disabled
CRD#: 4624071
NW
Professional summary
Nathan Liang Wong is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Sandy, Utah and THE O.N. EQUITY SALES COMPANY located in Sandy, Utah.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Nathan has worked at 6 firms and has passed the Series 65, Series 63, SIE 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. INSURANCE AGENT;NON-INVESTMENT RELATED, 1282 E GRAYSON CT SANDY UT 84094; SELL LIFE. DI AND LTC INSURANCE; INSURANCE AGENT; START DATE: 05/2007; 160 HOURS PER MONTH (160 HOURS DURING SECURITIES TRADING); SALES OF FIX ANNUITY DISABILITY HEALTH LIFE AND LTC PRODUCTS. 2.) WONG ENTERPRISES LLC; NON-INVESTMENT RELATED; 1282 E GRAYSON CT SANDY UT 84094; RENTAL OF FURNISHED CONDO UNITS TO COLLEGE STUDENTS;CO-OWNER;START DATE:07/2009; 5 HOURS PER MONTH (1 HOURS DURING SECURITIES TRADING); I GET CONTRACT SIGNED FOR NEW STUDENTS, COLLECT RENT AND MINOR REPAIRS OF UNITS.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Liang Wong'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
November 4, 2011 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
SANDY, UT
Current
October 28, 2011 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1282 E Grayson Court, Sandy, UT 84094BD
CRD#: 2936
Sandy, UT
Past
August 2, 2007 - November 4, 2011
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SANDY, UT
Past
July 20, 2007 - November 3, 2011
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SANDY, UT
Past
January 12, 2007 - July 28, 2007
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
SALT LAKE CITY, UT
Past
March 11, 2004 - July 28, 2007
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
SALT LAKE CITY, UT
Past
March 13, 2003 - March 10, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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
Alaska(2/7/2022)
RR
California(6/12/2012)
IAR
California(6/12/2012)
IAR
Maryland(2/10/2012)
RR
Montana(10/28/2011)
IAR
Montana(6/13/2012)
RR
New Jersey(10/28/2011)
IAR
New Jersey(2/7/2012)
IAR
New Mexico(3/19/2025)
RR
New York(10/28/2011)
IAR
New York(8/6/2021)
RR
Oregon(10/28/2011)
IAR
Oregon(2/27/2012)
RR
Utah(10/28/2011)
IAR
Utah(11/4/2011)
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.
