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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

THOMAS JAMES FRANK

Advisor at ON INVESTMENT MANAGEMENT CO

Pittsburgh, PA

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Search this name across graphsid dfx:ria:ed9cc14e-5abb-ca1c-25f1-02819466622f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ON INVESTMENT MANAGEMENT CO
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 14, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Mar 14, 1984
First registration: Feb 28, 2000
Dual registered: yes, broker-dealer
Other names: THOMAS JAMES FRANK|THOMAS JOHN FRANK
IAPD individual key: 1170889

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ON INVESTMENT MANAGEMENT CO	Bd affiliated wealth	Apr 17, 2017	n/a	yes	Pittsburgh, PA	Current employment
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Aug 18, 2010	Apr 14, 2017	no	PITTSBURGH, PA\|PITTSBURGH, PA\|PITTSBURGH, PA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Aug 18, 2010	no	PITTSBURGH, PA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 28, 2000	Jan 2, 2009	no	LANCASTER, PA\|PITTSBURGH, PA\|PITTSBURGH, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HORNOR, TOWNSEND & KENT, LLC	ON INVESTMENT MANAGEMENT CO	Apr 14, 2017	Apr 17, 2017	3	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	HORNOR, TOWNSEND & KENT, LLC	Aug 18, 2010	Aug 18, 2010	0	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ ON INVESTMENT MANAGEMENT CORegistered adviserregistration: current employment
Apr 17, 2017 to presentfactForm ADV
→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: previous registration
Aug 18, 2010 to Apr 14, 2017factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Aug 18, 2010factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 28, 2000 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.