AdFi
TJ

Thomas James Frank

Investment Adviser Representative at ON INVESTMENT MANAGEMENT CO

Pittsburgh, PACRD #1170889Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Pennsylvania
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 3/14/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/21/1984

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

ON Investment Management Co Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

THE O.N. EQUITY SALES COMPANYCurrent
4/13/2017Pittsburgh, PA
ON INVESTMENT MANAGEMENT COCurrent
4/13/2017Pittsburgh, PA
HORNOR, TOWNSEND & KENT, INC.
8/18/20104/14/2017Pittsburgh, PA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
1/2/20098/18/2010Pittsburgh, PA
RAYMOND JAMES FINANCIAL SERVICES
2/28/20001/2/2009Pittsburgh, PA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas James Frank has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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