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DA

Deepak N. Appaya

ON INVESTMENT MANAGEMENT CO
Robbinsville, NJ
Some features on this profile are disabled
CRD#: 1493211
DA

Professional summary

Deepak Nervanda Appaya is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Robbinsville, New Jersey and THE O.N. EQUITY SALES COMPANY located in Robbinsville, New Jersey.

Deepak is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Deepak has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Deepak Nervanda Appaya's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 17, 2023 - Present

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
Robbinsville, NJ
Current

April 14, 2023 - Present

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Robbinsville, NJ
Past

February 7, 2023 - April 13, 2023

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

April 11, 2011 - February 16, 2023

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
ROBBINSVILLE, NJ
Past

April 11, 2011 - February 16, 2023

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
ROBBINSVILLE, NJ
Past

June 15, 2009 - March 9, 2011

NEW ENGLAND SECURITIES

BD
CRD#: 615
ISELIN, NJ
Past

March 15, 2005 - December 18, 2009

BUCKMAN ADVISORY GROUP LLC

RIA
CRD#: 131688
SHREWSBURY, NJ
Past

May 20, 2003 - June 16, 2009

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
SHREWSBURY, NJ
Past

July 5, 2002 - April 30, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SOMERVILLE, NJ
Past

July 20, 2001 - April 30, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

January 11, 2001 - August 16, 2001

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

June 28, 1999 - December 12, 2000

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

April 24, 1986 - June 1, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

April 24, 1986 - June 1, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
New Jersey
(4/14/2023)
IAR
New Jersey
(4/17/2023)
RR
Pennsylvania
(4/14/2023)
RR
Texas
(4/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/22/1998
Investment Company Products/Variable Contracts Principal Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts12,053
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.

Company Information

ON INVESTMENT MANAGEMENT CO

CRD#: 105662Robbinsville, NJ

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