SS
Stephen J. Schug
ON INVESTMENT MANAGEMENT CO
Pendleton, IN 46064
Some features on this profile are disabled
CRD#: 1448575
SS
Professional summary
Stephen James Schug, CFP®, who also goes by Steve Schug, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Pendleton, Indiana and THE O.N. EQUITY SALES COMPANY located in Pendleton, Indiana.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Schug
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) SJS ASSOCIATES LLC ; ADDRESS: 1080 W Huntsville Rd, Pendleton IN 46064, United States; INVESTMENT RELATED: Yes: fixed Life Insurance Sales; agent; 03/01/1985; NUMBER OF HOURS: 70 (SECURITIES TRADING HOURS: 70 ) ;DESCRIPTION: Sales and service of life and annuity products. 2) United Methodist Mens Group; not investment related; state street Pendleton IN 46064; church fundraising activities; Treasurer; 01/01/2022; 2 hours/month 0 during market hours; collect and monitor funds of the group, report to group monthly. 3) Main Street Pendleton; not investment related; 1080 W Huntsville Rd Pendleton IN 46064; Historic Preservation of downtown business buildings; President; 01/01/2014; 10 hours/month (0 during security hours) Help maintain goals and objectives of the organization
CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Schug'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®
Experience
Current
June 16, 2021 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1080 W. Huntsville Road, Pendleton, IN 46064RIA
CRD#: 105662
Pendleton, IN
Current
September 14, 2020 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Pendleton, IN
Past
June 4, 2012 - September 15, 2020
CAPITAL ANALYSTS
RIA
CRD#: 162200
INDIANAPOLIS, IN
Past
June 1, 2012 - September 15, 2020
LINCOLN INVESTMENT
RIA
CRD#: 519
INDIANAPOLIS, IN
Past
June 1, 2012 - September 15, 2020
LINCOLN INVESTMENT
BD
CRD#: 519
INDIANAPOLIS, IN
Past
January 3, 2001 - June 1, 2012
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
INDIANAPOLIS, IN
Past
October 17, 1988 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
INDIANAPOLIS, IN
Past
April 11, 1986 - October 18, 1988
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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(9/14/2020)
RR
Indiana(9/14/2020)
IAR
Indiana(6/16/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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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Check for any disclosures as part of your thorough research when choosing an advisor.
