Stephen James Schug
CFP®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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Schug
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
ON INVESTMENT MANAGEMENT CO
Contact Information
Main Address
One Financial Way, Cincinnati, OH 45242Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371Phone Number
(855) 262-0913# of Employees
196SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,153AUM (Assets Under Management)
$3,152,519,169Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
State Registrations and Notice Filings
(9/14/2020)
(9/14/2020)
(6/16/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1986About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Schug's CRS (Customer Relationship Summary).
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