WP
William G. Pendleton
ON INVESTMENT MANAGEMENT CO
Valparaiso, IN 46383
Some features on this profile are disabled
CRD#: 1946333
WP
Professional summary
William George Pendleton, who also goes by William Pendleton, William George Pendlleton, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Valparaiso, Indiana and THE O.N. EQUITY SALES COMPANY located in Valparaiso, Indiana.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Pendleton | William George Pendlleton
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) BARNEY PENDLETON GROUP; OFFERS FINANCIAL SERVICES.
SALE OF FIXED LIFE,FIXED ANUITIES, DISABILITY INCOME, LONG-TERM CARE, AND HEALTH INSURANCE GROUP/INDIVIDUAL THROUGH VARIOUS INSURANCE COMPANIES.
B&P FINANCIALS: PARTNERSHIP; OWNERS OF OFFICE BUILDING.
CRS (Client Relationship Summary) - RIA
Click below to view William George Pendleton'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
July 22, 2020 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 61 Indiana Avenue Suite C, Valparaiso, IN 46383RIA
CRD#: 105662
Valparaiso, IN
Current
March 1, 2017 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 61 Indiana Ave Suite C, Valparaiso, IN 46383BD
CRD#: 2936
Valparaiso, IN
Past
January 23, 2006 - March 2, 2017
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
VALPARAISO, IN
Past
September 26, 2000 - January 24, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 30, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 30, 1992 - September 20, 2000
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
RR
Arizona(4/19/2018)
RR
California(6/1/2021)
RR
Florida(4/20/2018)
IAR
Florida(9/22/2021)
RR
Indiana(3/1/2017)
IAR
Indiana(7/22/2020)
IAR
Kentucky(1/5/2021)
RR
Kentucky(6/1/2021)
RR
Maryland(4/19/2018)
IAR
Maryland(3/11/2021)
RR
Michigan(6/1/2021)
IAR
Minnesota(7/25/2023)
RR
Nevada(6/1/2021)
IAR
Nevada(6/20/2023)
RR
North Carolina(4/24/2017)
IAR
North Carolina(3/11/2021)
RR
Ohio(6/2/2021)
IAR
Ohio(5/9/2022)
IAR
South Carolina(5/24/2022)
RR
Texas(6/1/2021)
IAR
Texas(6/3/2021)
IAR
Wyoming(6/1/2021)
Exams
State Security Law Exam
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
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.
