JC
James E. Cobb
ON INVESTMENT MANAGEMENT CO
TEXARKANA, TX 75503
Some features on this profile are disabled
CRD#: 49181
JC
Professional summary
James E Cobb, who also goes by James Edw Cobb, James Edward Cobb, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Texarkana, Texas and THE O.N. EQUITY SALES COMPANY located in Texarkana, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. James has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Edw Cobb | James Edward Cobb
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)JAMES COBB; 1919 MOORES LANE TEXARKANA TEXAS 75503; SELLING LIFE & LTC INSURANCE; AGENT; 06/01/1964-CURRENT; 160 HOURS/MONTH; 160 HOURS DURING SECURITIES TRADING HOURS; SELLING THE ABOVED MENTIONED PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view James E Cobb'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 14, 2010 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1919 Moores Lane, Texarkana, TX 75503RIA
CRD#: 105662
TEXARKANA, TX
Current
April 18, 1972 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1919 Moores Lane, Texarkana, TX 75503-4612BD
CRD#: 2936
Texarkana, TX
Past
June 28, 1991 - May 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 20, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 25, 1970 - April 23, 1972
UNION CAPITAL CORPORATION
BD
CRD#: 4885
Past
May 27, 1969 - June 11, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, 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".
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(3/29/2006)
RR
Arkansas(3/7/1990)
IAR
Arkansas(4/15/2010)
RR
Louisiana(1/12/2012)
IAR
Louisiana(1/19/2012)
RR
Mississippi(3/28/2008)
IAR
Mississippi(9/30/2010)
RR
North Carolina(1/13/2023)
RR
Texas(5/15/1985)
IAR
Texas(4/14/2010)
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: 11/28/1967
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Texarkana, TX 75503TRUST BUT VERIFY
Monitor James Cobb
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
