Christopher A. Shadowens

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CRD#: 1605504

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.

Christopher Allen Shadowens, who also goes by Chris Shadowens, Christopher A Shadowens, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Shadowens | Christopher A Shadowens

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2021 - September 27, 2021

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

St. Louis, MO

Past

December 9, 2020 - September 27, 2021

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Chesterfield, MO

Past

February 11, 2019 - December 1, 2020

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

July 28, 2010 - July 18, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

WATERLOO, IL

Past

July 27, 2010 - July 18, 2018

LPL FINANCIAL LLC

CRD#: 6413

WATERLOO, IL

Past

September 9, 2009 - July 28, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

COLUMBIA, IL

Past

August 11, 2009 - September 1, 2010

FAMILY OFFICE GROUP LLC

RIA

CRD#: 147275

PINEHURST, NC

Past

July 29, 2004 - May 20, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

COLUMBIA, IL

Past

July 29, 2004 - May 20, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

COLUMBIA, IL

Past

September 8, 2003 - August 5, 2004

UNION PLANTERS INVESTMENT ADVISORS, INC.

RIA

CRD#: 111807

COLUMBIA, IL

Past

September 3, 2003 - August 5, 2004

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

May 11, 2000 - September 2, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHESTERFIELD, MO

Past

February 12, 1999 - September 2, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 30, 1996 - February 19, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/4/2014

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/29/1996

General Securities Representative Examination

Current Firm

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)

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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)

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 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.

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Firm Stability Insights

Christopher A. Shadowens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

SOUTHEAST INVESTMENTS, N.C., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PURSHE KAPLAN STERLING INVESTMENTS

FAMILY OFFICE GROUP LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UNION PLANTERS INVESTMENT ADVISORS, INC.

PFIC SECURITIES CORPORATION

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2021

Series 63

Date: 9/12/1996

SIE

Date: 7/18/2018

Series 31

Date: 2/4/2014

Series 7

Date: 8/29/1996

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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