Robert P. Decock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Paul Decock, who also goes by Robert P Decock, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - December 21, 2016
ON INVESTMENT MANAGEMENT CO
October 11, 2011 - December 21, 2016
THE O.N. EQUITY SALES COMPANY
January 19, 2011 - October 24, 2011
CETERA WEALTH SERVICES, LLC
January 18, 2011 - October 24, 2011
CETERA WEALTH SERVICES, LLC
May 30, 2007 - January 21, 2011
MML INVESTORS SERVICES, LLC
May 9, 2007 - January 21, 2011
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
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.
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