Richard F. Yost
ON INVESTMENT MANAGEMENT CO
EUGENE, OR 97401
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CRD#: 821097
Professional summary
Richard Frederick Yost, CFP®, who also goes by Rick Yost, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Eugene, Oregon and THE O.N. EQUITY SALES COMPANY located in Eugene, Oregon.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Richard has worked at 7 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Yost
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)DBA FISCAL FUNDING, INC; NOT INVESTMENT RELATED; 1600 EXECUTIVE PARKWAY SUITE #220 EUGENE OREGON 97401; INSURANCE SALES; OWNER; 09/24/1979 TO PRESENT; 80 HOURS PER MONTH INCLUDING TRADING HOURS; SALE OF LIFE, HEALTH, DISABILITY, LTC, FIXED ANNUITIES. 2) NAIFA LANE COUNTY; NOT INVESTMENT RELATED; 212 Q ST SPRINGFIELD, OR 97477; Board Member; START DATE: 01/01/1996;Insurance trade group; 1 HOUR PER MONTH (0 HOURS DURING TRADING HOURS); provide guidance with organization priorities. 3) SOCIETY OF FINANCIAL AND SERVICE PROFESSIONALS- GREATER OREGON; NOT INVESTMENT RELATED; EUGENE, OREGON; BOARD MEETINGS; BOARD MEMBER; START DATE 09/01/2012; HOURS/MONTH 2; HOURS/TRADING 2; MONTHLY MEETINGS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Frederick Yost'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®
CFP®
Start date: 1995
Experience
Current
June 6, 2007 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1600 Executive Parkway Suite 220, Eugene, OR 97401RIA
CRD#: 105662
EUGENE, OR
Current
December 1, 2005 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1600 Executive Parkway Suite 220, Eugene, OR 97401BD
CRD#: 2936
Eugene, OR
Past
September 21, 1988 - December 10, 2005
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 23, 1983 - October 12, 1988
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 28, 1981 - October 12, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
June 17, 1977 - October 12, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 15, 1976 - July 23, 1977
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
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
California(2/5/2008)
RR
Nevada(7/29/2020)
RR
Oregon(12/2/2005)
IAR
Oregon(6/6/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/9/1976
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#: 105662Eugene, OR 97401TRUST BUT VERIFY
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