Stephen K. Yoder
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 Kenneth Yoder JR, who also goes by Stephen Kenneth Yoder, Steve Yoder, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2012 - December 31, 2017
ON INVESTMENT MANAGEMENT CO
April 24, 2007 - October 17, 2017
HUMMEL WEALTH MANAGEMENT, LLC
March 9, 1993 - December 31, 2017
THE O.N. EQUITY SALES COMPANY
October 18, 1991 - March 10, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 1986 - October 24, 1991
VESTAX SECURITIES CORPORATION
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
