SF
Susan M. Fellman
ON INVESTMENT MANAGEMENT CO
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 5011739
SF
Professional summary
Susan Michelle Fellman, who also goes by Susan Michelle Gattermeyer, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Cincinnati, Ohio and THE O.N. EQUITY SALES COMPANY located in Cincinnati, Ohio.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Susan has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Michelle Gattermeyer
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.
Rental Property; not investment related; 434 Ridgelawn Ave Hamilton OH 45013; Property owner; 08/12/2017-Present; 0 hours/month; 0 trading/hours; Single family home owned with spouse.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Michelle Fellman'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
February 4, 2016 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: One Financial Services, Cincinnati, OH 45242RIA
CRD#: 105662
Cincinnati, OH
Current
February 4, 2016 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: One Financial Way, Cincinnati, OH 45242BD
CRD#: 2936
Cincinnati, OH
Current
November 9, 2023 - Present
AUGUSTAR DISTRIBUTORS, INC.
Office #1: One Financial Way, Cincinnati, OH 45242BD
CRD#: 41081
Cincinnati, OH
Past
February 9, 2016 - October 23, 2018
AUGUSTAR DISTRIBUTORS, INC.
BD
CRD#: 41081
CINCINNATI, OH
Past
November 18, 2005 - January 28, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
HAMILTON, OH
Past
September 23, 2005 - January 28, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
HAMILTON, OH
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
Indiana(2/4/2016)
IAR
Indiana(2/4/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Cincinnati, OH 45242TRUST BUT VERIFY
Monitor Susan Fellman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
