DN
David N. Nelson
ON INVESTMENT MANAGEMENT CO
Lisle, IL 60532
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CRD#: 5085790
DN
Professional summary
David Nyles Nelson, who also goes by David N Nelson, David Nelson, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lisle, Illinois and THE O.N. EQUITY SALES COMPANY located in Lisle, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David N Nelson | David Nelson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Nyles Nelson'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 16, 2018 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 4200 Commerce Ct Suite 350, Lisle, IL 60532RIA
CRD#: 105662
Lisle, IL
Current
April 9, 2018 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 4200 Commerce Ct Suite 350, Lisle, IL 60532BD
CRD#: 2936
Lisle, IL
Past
May 2, 2017 - April 2, 2018
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHICAGO, IL
Past
May 2, 2017 - April 2, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Chicago, IL
Past
February 1, 2016 - February 8, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Downers Grove, IL
Past
May 27, 2015 - February 8, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Downers Grove, IL
Past
October 24, 2007 - May 19, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCHAUMBURG, IL
Past
March 22, 2006 - October 1, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
OAKBROOK TERRACE, IL
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
Colorado(9/11/2020)
IAR
Colorado(9/11/2020)
RR
Florida(1/17/2024)
IAR
Florida(5/15/2024)
RR
Illinois(4/16/2018)
IAR
Illinois(4/16/2018)
RR
Indiana(7/8/2020)
IAR
Indiana(4/29/2024)
RR
Washington(6/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
