DA
Deepak N. Appaya
ON INVESTMENT MANAGEMENT CO
Robbinsville, NJ
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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.
1)RENTAL APARTMENT; NOT INVESTMENT RELATED; 832 J MAIN STREET BELLEVILLE, NJ 07110; OWNER; START DATE: 06/01/1992; RENT APARTMENT. PAY TAXES AND MAINTENENCE; 1 HOUR PER MONTH (0 HOURS DURING TRADING). 2). Appaya Financial- 117 Rose Court, Robbinsville, NJ 08691-2551; not investment related; President; 08/15/2014-present; 20 hours/month (10 during securities trading hours); sale and service of non-registered insurance: Property & Casualty, life and health. 3). National Life Group; Not investment related; Addison, TX 75001; indexed universal life; account rep; 10-23-2025-present; 2 hours/month (0 during securities trading hours/month); Selling this life insurance policy as it has a benefit for critical illness and Alzheimer's disease.
CRS (Client Relationship Summary) - RIA
Click below to view Deepak Nervanda Appaya'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®
NoneExperience
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
Georgia(4/14/2023)
RR
New Jersey(4/14/2023)
IAR
New Jersey(4/17/2023)
RR
New York(4/14/2023)
RR
Ohio(4/22/2023)
RR
Pennsylvania(4/14/2023)
RR
Texas(4/14/2023)
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
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.
