DF
David J. Funke
ON INVESTMENT MANAGEMENT CO
CEDAR RAPIDS, IA 52401
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CRD#: 1505949
DF
Professional summary
David Joseph Funke is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Cedar Rapids, Iowa and THE O.N. EQUITY SALES COMPANY located in Cedar Rapids, Iowa.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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)HIGHLAND CAPITAL BROKERAGE; NOT INVETMENT RELATED; MILWAUKEE WI; INSURANCE BROKERAGE-WRITTED SOME LIFE & DI; BROKER; 06/2008; 3 HOURS/MONTH(0 DURING SECURITIES TRADING); LIFE DI ANNUITIES; EIA SALES, INSURANCE BROKERAGE. 2)WESTERN CATHOLIC UNION; NOT INVESTMENT RELATED; 510 MAIN ST QUINCY IL 62301; INSURANCE BROKERAGE-WROTE SOME FIXED ANNUITIES & LIFE; BROKER; 05/2008; 2 HOURS/MONTH (0 DURING SECURITIES TRADING);INSURANCE BROKERAGE. 3) SUNSET RIDGE INVESTMENTS LLC; NOT INVESTMENT RELATED; 425 2ND STREET SE 3RD FLOOR CEDAR RAPIDS IA 52401; PURCHASED OFFICE SPACE WHERE OUR ONL AGENCU IS LOVATED. HAVE SEVERAL TENNANTS RENTING FROM US; PRESIDENT; 06/15/2014; LIMITED LANDLORD RESPONSIBILITES. COLLECT RENTS FROM TENNANTS; 4 HOURS/ MONTH (0 DURING SECURITY HOURS); PURCHASED A FLOOR OF AN OFFICE BUILDING. OUR ONL AGENCY IS LOCATED IN THIS SPACY ALSO. BUILDING IS A CONDO BUILDING SO MAINTENANCE IS LIMITED.4) Benefit Solutions; not investment related; 425 2nd street se, Cedar Rapids, IA 52401; group insurance products; 09/15/2017-present; 2 hours/month(0 during market hours); asking business owners about their group benefits. 5) Quantum Group; not investment related; 17550 N Perimeter Dr Scottsdale Az 85255; Life insurance and fixed annuity brokerage; Independent Broker; 06/15/2022; 2 hours/month ( 2 hours/month) ;Occasional life insurance brokerage and fixed annuity.
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Funke'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
September 21, 2004 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 425 2nd Street Se Suite 310, Cedar Rapids, IA 52401RIA
CRD#: 105662
CEDAR RAPIDS, IA
Current
January 26, 2004 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 425 2nd Street Se Suite 310, Cedar Rapids, IA 52401BD
CRD#: 2936
Cedar Rapids, IA
Past
October 13, 1999 - February 5, 2004
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CEDAR RAPIDS, IA
Past
August 23, 1991 - February 5, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
July 23, 1990 - July 23, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
July 31, 1986 - July 9, 1990
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, 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
IAR
Arizona(2/26/2021)
RR
Arizona(6/23/2023)
RR
California(3/20/2007)
IAR
California(4/1/2020)
IAR
Florida(9/2/2015)
RR
Florida(9/18/2024)
RR
Illinois(5/18/2006)
IAR
Illinois(1/27/2016)
RR
Indiana(7/3/2014)
RR
Iowa(1/26/2004)
IAR
Iowa(9/21/2004)
RR
Minnesota(8/7/2020)
RR
Missouri(1/12/2021)
RR
Nebraska(10/7/2022)
IAR
Nebraska(10/11/2022)
RR
New York(7/22/2014)
RR
North Carolina(2/4/2022)
IAR
North Carolina(2/7/2022)
IAR
Oklahoma(4/27/2023)
IAR
South Carolina(4/25/2017)
RR
Tennessee(3/2/2023)
RR
Texas(5/16/2013)
IAR
Texas(10/10/2022)
RR
Utah(5/23/2012)
IAR
Utah(8/25/2025)
RR
Wisconsin(2/18/2009)
Exams
State Security Law Exam
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.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Cedar Rapids, IA 52401TRUST BUT VERIFY
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