AR
Alexander M. Roig
ON INVESTMENT MANAGEMENT CO
LEXINGTON, KY 40509
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CRD#: 4552448
AR
Professional summary
Alexander Matthew Roig is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lexington, Kentucky and THE O.N. EQUITY SALES COMPANY located in Lexington, Kentucky.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Alexander has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) ALEX ROIG; NOT INVESTMENT RELATED; 1792 ALYSHEBA WAY STE 201 LEXINGTON KY 40509; SELLING INSURANCE; AGENT; 03/01/2004-CURRENT; 4 HOURS/MONTH; 2 DURING SECURITIES TRADING HOURS/MONTH; SELLING HEALTH LTC AND FIXED ANNUITIES. 2) FAMILY FINANCIAL PARTNERS; NOT INVESTMENT RELATED; 1792 ALYSHEBA WAY STE 201 LEXINGTON KY 40509; MANAGMENT OF OFFICE; VICE PRESIDENT; 08/01/2005-CURRENT; 200 HOURS/MONTH; 100 DURING SECURITIES TRADING HOURS/MONTH; MANAGEMENT AND MARKETING OF BUSINESS OFFICE.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Matthew Roig'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
January 28, 2008 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 1792 Alysheba Way Suite #201, Lexington, KY 40509RIA
CRD#: 105662
LEXINGTON, KY
Current
January 2, 2008 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 1792 Alysheba Way Suite #201, Lexington, KY 40509BD
CRD#: 2936
Lexington, KY
Past
August 1, 2005 - December 31, 2007
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
LEXINGTON, KY
Past
May 30, 2003 - August 12, 2005
INTERACTIVE PLANNING CORP.
BD
CRD#: 40261
LEXINGTON, KY
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(2/7/2024)
RR
Arkansas(7/24/2018)
IAR
Arkansas(7/24/2018)
RR
Florida(11/4/2024)
RR
Illinois(5/15/2013)
IAR
Illinois(10/18/2021)
RR
Indiana(8/18/2021)
IAR
Indiana(7/24/2024)
RR
Kentucky(1/2/2008)
IAR
Kentucky(1/28/2008)
RR
New York(4/20/2016)
IAR
New York(9/20/2022)
RR
North Carolina(9/17/2021)
IAR
North Carolina(8/23/2023)
RR
Ohio(11/6/2013)
IAR
Ohio(7/27/2015)
RR
South Carolina(9/2/2022)
RR
Tennessee(4/18/2023)
IAR
Virginia(2/10/2025)
RR
West Virginia(6/22/2022)
IAR
West Virginia(6/27/2022)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Lexington, KY 40509TRUST BUT VERIFY
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