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JL

John K. Lee

Some features on this profile are disabled
CRD#: 1766752
JL

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.

John Kenneth Lee was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

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 27, 2023 - December 31, 2023

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
St Charles, MO
Past

January 26, 2023 - December 31, 2023

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
ST CHARLES, MO
Past

January 25, 2007 - December 31, 2022

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
ST. CHARLES, MO
Past

January 25, 2007 - December 31, 2022

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
ST CHARLES, MO
Past

May 27, 1999 - December 31, 2006

SUNSET FINANCIAL SERVICES, INC.

RIA
CRD#: 3538
ST. CHARLES, MO
Past

August 18, 1997 - December 31, 2006

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
ST. CHARLES, MO
Past

March 25, 1997 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

March 25, 1997 - August 18, 1997

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

October 7, 1992 - April 1, 1997

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

November 27, 1987 - August 31, 1992

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/8/1987
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: 1/4/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/29/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/24/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/2002
General Securities Principal Examination

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)
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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)

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#: 105662

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