GL
Gary W. Livingston
ON INVESTMENT MANAGEMENT CO
EAGAN, MN 55121
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CRD#: 802156
GL
Professional summary
Gary William Livingston is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Eagan, Minnesota and THE O.N. EQUITY SALES COMPANY located in Oakdale, Minnesota.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Gary has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 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) GARY LIVINGSTON; INVESTMENT RELATED; ONE FINANCIAL WAY CINCINNATI OHIO 45242; GENERAL AGENT; 09/01/2002; 100 HOURS/MONTH ( 2 DURING SECURITY HOURS); RECRUITS, TRAINS AND SUPREVISES AGENTS ENGAGED IN THE SALE OF NON-REGISTERED INSURANCE PRODUCTS. SELLS/SERVICES DISABILITY AND LIFE INSURANCE, RETIREMENT PLANS AND FIXED ANNUITIES. NO EIAS. 2) ECONOMIC ADVISORY BOARD; NOT INVESTMENT RELATED; 1584 HADLEY AVE N OAKDALE MN 55128; ADVISORY FOR THE CITY OF OAKDALE CITY COUNCIL; MEMEBER OF THE BOARD; 09/07/2016-PRESENT; 1 HOUR/MONTH; 0 HOUR/TRADING; ADVISORY TO THE CITY COUNCIL ON ECONOMIC ISSUES DEALING WITH ECONOMIC GROWTH WITHIN THE CITY.
CRS (Client Relationship Summary) - RIA
Click below to view Gary William Livingston'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, 2013 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 3140 Neil Armstrong Blvd Suite 31, Eagan, MN 55121RIA
CRD#: 105662
EAGAN, MN
Current
October 17, 2002 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Oakdale, MN
Past
September 6, 1995 - October 16, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
November 3, 1982 - September 7, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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(4/5/2017)
RR
Colorado(11/8/2023)
RR
Illinois(7/31/2012)
RR
Minnesota(10/17/2002)
IAR
Minnesota(11/4/2013)
RR
Wisconsin(3/16/2004)
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 1
Date: 12/12/1974
Registered Representative ExaminationPrincipal/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.
