SG
Steven F. Golden
ON INVESTMENT MANAGEMENT CO
WINSTON-SALEM, NC 27103
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CRD#: 1614452
SG
Professional summary
Steven Frederick Golden, CFP®, who also goes by Steve Golden, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Winston-salem, North Carolina and THE O.N. EQUITY SALES COMPANY located in Winston-salem, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Golden
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)GOLDEN MACK & ASSOCIATES; NOT INVESTMENT RELATED; 1324 WESTGATE CENTER DRIVE WINSTON SALEM NC 27103; TPA FOR RETIREMENT PLANS; OWNER; 01/01/1991-CURRENT; 40 HOURS/MONTH; 40 DURING SECURITIES TRADING HOURS; THIRD PARTY ADMINISTRATOR FOR RETIREMENT PLANS. 2) STEVE GOLDEN; NOT INVESTMENT RELATED; 1324 WESTGATE CENTER DRIVE WINSTON SALEM NC 27103; SELLING LIFE AND DISABILITY INSURANCE; OWNER; 01/01/1991-CURRENT; 15 HOURS/MONTH; 15 DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Frederick Golden'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®
CFP®
Start date: 1993
Experience
Current
March 21, 2006 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1324 Westgate Center Dr, Winston-salem, NC 27103RIA
CRD#: 105662
WINSTON-SALEM, NC
Current
May 3, 2004 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1324 Westgate Center Drive, Winston-salem, NC 27103BD
CRD#: 2936
Winston-salem, NC
Past
February 24, 1993 - May 3, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
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
California(5/3/2004)
RR
Connecticut(12/13/2021)
RR
Michigan(5/3/2004)
RR
North Carolina(5/3/2004)
IAR
North Carolina(3/21/2006)
RR
Ohio(2/24/2012)
RR
Oregon(4/25/2016)
RR
South Carolina(12/13/2011)
IAR
South Carolina(7/22/2020)
RR
Virginia(9/1/2017)
IAR
Virginia(1/23/2025)
Exams
State Security Law 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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Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Winston-salem, NC 27103TRUST BUT VERIFY
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