DW
Donald L. Wilcox
ON INVESTMENT MANAGEMENT CO
HOLLYWOOD, FL 33021
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CRD#: 466714
DW
Professional summary
Donald Lee Wilcox, who also goes by Don Wilcox, Donnie Lee Wilcox, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Hollywood, Florida and THE O.N. EQUITY SALES COMPANY located in Hollywood, Florida.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Donald has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 15 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Don Wilcox | Donnie Lee Wilcox
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)WILCOX FINANCIAL STRATEGIES; NOT INVESTMENT RELATED; 4813 ARTHUR ST HOLLYWOOD FL 33021; SELLING LIFE, DISABILITY, FIXED; AGENT; START DATE: 01/01/1974; 160 HOURS PER MONTH(160 HOURS DURING TRADING)
CRS (Client Relationship Summary) - RIA
Click below to view Donald Lee Wilcox'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 4, 2003 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 4813 Arthur St, Hollywood, FL 33021RIA
CRD#: 105662
HOLLYWOOD, FL
Current
January 31, 2002 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 4813 Arthur St, Hollywood, FL 33021BD
CRD#: 2936
Hollywood, FL
Past
May 11, 1995 - January 8, 2002
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 10, 1986 - April 8, 1989
ILG SECURITIES CORPORATION
BD
CRD#: 422
KANSAS CITY, MO
Past
May 31, 1985 - December 20, 1985
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
Past
May 24, 1985 - July 21, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
October 7, 1982 - June 10, 1983
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
March 23, 1979 - October 25, 1982
EASTERN STATES SECURITIES, INC.
BD
CRD#: 6786
Past
January 29, 1974 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
BD
CRD#: 647
WORCESTER, MA
Past
February 24, 1970 - February 10, 1974
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
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
Florida(1/31/2002)
IAR
Florida(4/4/2003)
IAR
Texas(10/20/2017)
RR
Texas(10/25/2017)
Exams
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 2/20/1970
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
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Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Hollywood, FL 33021TRUST BUT VERIFY
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Contact information
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