Stephen A. Mcconihay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Allen Mcconihay, who also goes by Steve Mcconihay, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2005 - April 4, 2018
ON INVESTMENT MANAGEMENT CO
November 18, 2005 - April 4, 2018
THE O.N. EQUITY SALES COMPANY
June 25, 2004 - July 25, 2005
WOODBURY FINANCIAL SERVICES, INC.
May 7, 2004 - August 2, 2005
PRIVATE CLIENT SERVICES, LLC
May 6, 2004 - July 25, 2005
WOODBURY FINANCIAL SERVICES, INC.
March 4, 2003 - April 14, 2004
OSAIC FA, INC.
January 7, 2002 - April 14, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 7, 2002 - April 14, 2004
OSAIC FA, INC.
July 30, 2001 - December 18, 2001
EQUITABLE ADVISORS, LLC
January 19, 2000 - April 30, 2001
1ST GLOBAL CAPITAL CORP.
November 24, 1993 - January 11, 2000
WALNUT STREET SECURITIES, INC.
September 18, 1990 - December 31, 1993
NEW ENGLAND SECURITIES
May 9, 1990 - August 24, 1990
DMG SECURITIES, INC.
June 26, 1989 - April 7, 1990
ESSEX COMPANY
June 17, 1987 - November 22, 1988
OGILVIE SECURITY ADVISORS CORPORATION
September 16, 1986 - May 11, 1987
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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