James S. Neff

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CRD#: 1434977

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.

James Stuart Neff, who also goes by Stuart Neff, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1985. James had worked at 10 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stuart Neff

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 24, 2010 - February 16, 2012

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

ANNAPOLIS, MD

Past

April 2, 2009 - February 16, 2012

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

ANNAPOLIS, MD

Past

October 26, 2007 - April 1, 2009

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

HARWOOD, MD

Past

October 26, 2007 - April 1, 2009

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HARWOOD, MD

Past

August 14, 2006 - October 11, 2007

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

HARWOOD, MD

Past

August 9, 2006 - October 11, 2007

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

HARWOOD, MD

Past

July 22, 2005 - November 1, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 28, 2003 - July 20, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

January 6, 2003 - April 15, 2003

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

ANNAPOLIS, MD

Past

December 17, 2002 - January 17, 2003

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

August 30, 2001 - December 31, 2002

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

ANNAPOLIS, MD

Past

August 23, 2001 - April 15, 2003

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

January 2, 2001 - August 22, 2001

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

April 3, 1998 - December 31, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

July 13, 1992 - March 23, 1998

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

December 24, 1985 - May 21, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 24, 1985 - May 21, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONIMCO-52 FIRM BROCHURE ADV 2A 05-14-2025 (5/14/2025)

ONIMCO-52 FIRM BROCHURE ADV 2A 03-26-2025 (5/14/2025)

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James S. Neff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

1717 CAPITAL MANAGEMENT COMPANY

ALLSTATE FINANCIAL SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

1717 CAPITAL MANAGEMENT COMPANY

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/1998

Series 7

Date: 12/22/1999

Series 6

Date: 12/20/1985

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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