AH
Aaron P. Hughes
ON INVESTMENT MANAGEMENT CO
Lee's Summitt, MO 64064
Some features on this profile are disabled
CRD#: 3272560
AH
Professional summary
Aaron Phillip Hughes, who also goes by Aaron Phillip Hughes, Aaron P Hughes, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lee's Summitt, Missouri and THE O.N. EQUITY SALES COMPANY located in Lee's Summit, Missouri.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Aaron has worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Phillip Hughes | Aaron P Hughes
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.
fixed life and annuity business, LTC and disability
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Phillip Hughes'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
August 7, 2024 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 2641 Ne Mcbaine Drive, Lee's Summitt, MO 64064RIA
CRD#: 105662
Lee's Summitt, MO
Current
August 7, 2024 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 2641 Ne Mcbaine Drive, Lee's Summit, MO 64064BD
CRD#: 2936
Lee's Summit, MO
Past
November 30, 2021 - October 30, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
OVERLAND PARK, KS
Past
September 24, 2021 - October 30, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
OVERLAND PARK, KS
Past
May 15, 2019 - August 23, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Overland Park, KS
Past
July 12, 2016 - May 18, 2017
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
Past
December 16, 2015 - July 1, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
OVERLAND PARK, KS
Past
December 16, 2015 - July 1, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
OVERLAND PARK, KS
Past
October 2, 2015 - October 7, 2015
FDX CAPITAL LLC
BD
CRD#: 119302
NEW YORK, NY
Past
January 13, 2012 - September 15, 2015
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
January 14, 2010 - September 15, 2015
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
April 26, 2007 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
June 12, 2006 - February 5, 2007
AUGUSTAR DISTRIBUTORS, INC.
BD
CRD#: 41081
CINCINNATI, OH
Past
March 18, 2005 - May 3, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 31, 2002 - April 10, 2003
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
April 5, 2000 - December 7, 2001
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, 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
Alabama(8/7/2024)
IAR
Alabama(8/7/2024)
RR
Alaska(8/7/2024)
RR
Arizona(8/7/2024)
IAR
Arizona(8/13/2024)
RR
Arkansas(8/7/2024)
IAR
Arkansas(8/8/2024)
RR
California(8/7/2024)
IAR
California(8/8/2024)
RR
Colorado(8/7/2024)
IAR
Colorado(8/8/2024)
RR
District of Columbia(8/7/2024)
IAR
District of Columbia(9/3/2024)
RR
Florida(8/7/2024)
IAR
Florida(9/6/2024)
RR
Georgia(8/7/2024)
IAR
Georgia(9/18/2024)
RR
Idaho(8/7/2024)
RR
Illinois(8/7/2024)
IAR
Illinois(8/26/2024)
RR
Iowa(8/7/2024)
IAR
Iowa(8/9/2024)
RR
Kansas(8/7/2024)
IAR
Kansas(8/7/2024)
RR
Louisiana(8/7/2024)
IAR
Louisiana(8/21/2024)
RR
Maryland(8/7/2024)
RR
Michigan(8/7/2024)
IAR
Michigan(8/9/2024)
RR
Missouri(8/7/2024)
IAR
Missouri(8/8/2024)
RR
Montana(8/7/2024)
IAR
Montana(8/8/2024)
RR
Nebraska(8/7/2024)
RR
New Mexico(8/7/2024)
RR
New York(8/7/2024)
RR
North Carolina(8/7/2024)
IAR
North Carolina(8/8/2024)
RR
Ohio(8/7/2024)
IAR
Ohio(8/7/2024)
RR
Oklahoma(8/7/2024)
IAR
Oklahoma(8/8/2024)
RR
Oregon(8/7/2024)
IAR
Oregon(8/8/2024)
RR
Pennsylvania(8/7/2024)
IAR
Pennsylvania(8/8/2024)
RR
South Carolina(8/7/2024)
RR
South Dakota(8/7/2024)
RR
Tennessee(8/7/2024)
RR
Texas(8/7/2024)
IAR
Texas(8/7/2024)
RR
Utah(8/7/2024)
RR
Virginia(8/7/2024)
IAR
Virginia(8/8/2024)
RR
Washington(8/7/2024)
IAR
Washington(8/7/2024)
RR
Wisconsin(8/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
