Aderon A. Napier

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CRD#: 4654167

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.

Aderon Alan Napier, who also goes by Alan Napier, was a registered financial professional .

Aderon is a previously registered financial professional and started their career in finance in 2003. Aderon had worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan Napier

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

March 19, 2025 - December 16, 2025

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Barboursville, WV

Past

March 14, 2025 - December 16, 2025

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Barboursville, WV

Past

December 27, 2018 - December 12, 2024

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Barboursville, WV

Past

December 21, 2018 - December 12, 2024

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Barboursville, WV

Past

June 10, 2015 - December 26, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

CLARKESBURG, WV

Past

June 5, 2015 - December 26, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CLARKSBURG, WV

Past

April 3, 2014 - June 5, 2015

SPC

RIA

CRD#: 110692

CLARKSBURG, WV

Past

April 3, 2014 - June 5, 2015

PARKLAND SECURITIES, LLC

CRD#: 115368

CLARKSBURG, WV

Past

July 18, 2011 - April 4, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSBURGH, PA

Past

July 18, 2011 - April 4, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSBURGH, PA

Past

August 28, 2009 - August 4, 2011

MORGAN STANLEY

RIA

CRD#: 149777

HUNTINGTON, WV

Past

August 26, 2009 - August 26, 2009

MORGAN STANLEY

RIA

CRD#: 149777

HUNTINGTON, WV

Past

August 26, 2009 - August 4, 2011

MORGAN STANLEY

CRD#: 149777

HUNTINGTON, WV

Past

July 3, 2008 - September 30, 2009

WESBANCO SECURITIES, INC.

RIA

CRD#: 43276

BRIDGEPORT, WV

Past

July 2, 2008 - September 30, 2009

WESBANCO SECURITIES, INC.

CRD#: 43276

BRIDGEPORT, WV

Past

July 6, 2005 - July 1, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CLARKSBURG, WV

Past

July 6, 2005 - July 1, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CLARKSBURG, WV

Past

April 23, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

HAMMOND, IN

Past

April 23, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 24, 2003 - March 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MISHAWAKA, IN

Past

July 24, 2003 - March 16, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 24, 2003 - March 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/23/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2003

General Securities Representative Examination

Current Firm

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)

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 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.

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Advisor Monitoring

Firm Stability Insights

Aderon A. Napier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SPC

PARKLAND SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

WESBANCO SECURITIES, INC.

WESBANCO SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2003

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2003

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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