DG
Dennis J. Goldstrand
ON INVESTMENT MANAGEMENT CO
STOCKTON, CA 95219
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CRD#: 856646
DG
Professional summary
Dennis Joseph Goldstrand is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Stockton, California and GOLDSTRAND PLANNING GROUP located in Stockton, California.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Dennis has worked at 9 firms and has passed the Series 66, Series 6TO, Series 22TO, SIE, Series 7, 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). GOLDSTRAND PLANNING GROUP; YES INVESTMENT RELATED; 2800 W MARCH LANE, #326, STOCKTON, CA 95219; REGISTERED INVESTMENT ADVISOR-STATE REGISTERED; OWNER; 06/09/199-CURRENT; 60 HOURS/MONTH; 50 DURING SECURITIES TRADING HOURS/MONTH; FEE BASED INVESTMENT ADVISORY AND FINANCIAL PLANNING. 2). GOLDSTRAND INSURANCE SERVICES; NON INVESTMENT RELATED; 2800 W. MARCH LANE, #326, STOCKTON, CA 95219; INSURANCE PRODUCT SALES; OWNER/ INSURANCE AGENT; 09/01/1976-CURRENT; 160 HOUR/MONTH; 120 DURING SECURITIES TRADING HOURS/MONTH; NON- SECURITIES INSURANCE PRODUCTS LIFE, DISABILITY, LONG-TERM AND HEALTH 3) AMERICAN EXPRESS CORPORATE SERVICES; NON INVESTMENT RELATED; 3 WORLD FINANCIAL CENTER NEW YORK NY 10285; CORPORATE CREDIT CARD; REFERRER; 07/08/2010- PRESENT; 1 HOUR PER MONTH (1 HOUR DURING MARKET HOURS); MY ROLE IS ONLY TO PROVIDE REFERRAL TO AE CORPORATE SERVICES OF POSSIBLE QUALIFYING (SALES VOLUME MINIMUM) COMPANIES FOR CORPORATE CREDIT CARD. I DO NOT PARTICIPATE IN ANY PRESENTATION MEETINGS RECEIVE REFERRAL FEE.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Joseph Goldstrand'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
June 20, 2001 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 2800 W. March Lane Suite 324, Stockton, CA 95219RIA
CRD#: 105662
STOCKTON, CA
Current
August 3, 2016 - Present
GOLDSTRAND PLANNING GROUP
Office #1: 2800 W. March Lane Suite 326, Stockton, CA 95219-8202RIA
CRD#: 115906
Stockton, CA
Current
September 23, 1997 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 2800 West March Lane Suite 326, Stockton, CA 95219-8218BD
CRD#: 2936
Stockton, CA
Past
July 15, 1994 - August 27, 1997
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
January 3, 1992 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
BD
CRD#: 16286
Past
March 23, 1990 - December 31, 1991
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 12, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
October 20, 1980 - February 16, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
September 1, 1978 - February 16, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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(3/22/2022)
IAR
Arizona(4/1/2022)
RR
California(9/23/1997)
IAR
California(6/20/2001)
IAR
Idaho(8/28/2024)
RR
Idaho(9/24/2024)
RR
Louisiana(9/22/2022)
IAR
Louisiana(10/21/2022)
IAR
Michigan(10/27/2025)
RR
Oregon(10/16/2014)
IAR
Oregon(10/23/2014)
RR
Tennessee(2/10/2023)
RR
Texas(9/18/2017)
IAR
Texas(3/31/2022)
RR
Washington(6/11/1999)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/24/1978
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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Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Stockton, CA 95219TRUST BUT VERIFY
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Contact information
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