SW
Steven L. White
ON INVESTMENT MANAGEMENT CO
Greenwood, CO 80111
Some features on this profile are disabled
CRD#: 5076705
SW
Professional summary
Steven Lee White JR, who also goes by Steven Lee White, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Greenwood, Colorado and THE O.N. EQUITY SALES COMPANY located in Greenwood Village, Colorado.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Steven has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Lee White
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)Insurance Sales; 8400 E. Prentice Ave, Greenwood Village CO 80111; not investment related; agent; 06/01/2005-present; 80 hours/month (50 during market hours); business development, client meetings, case preparation, delivery, client reviews and follow up meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lee White JR'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 29, 2019 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 8400 E. Prentice Ave Suite 1360, Greenwood, CO 80111RIA
CRD#: 105662
Greenwood, CO
Current
January 29, 2019 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 8400 E. Prentice Ave Suite 800, Greenwood Village, CO 80111BD
CRD#: 2936
Greenwood Village, CO
Past
February 15, 2017 - November 9, 2018
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DENVER, CO
Past
February 15, 2017 - November 9, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DENVER, CO
Past
May 17, 2016 - March 15, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Denver, CO
Past
May 17, 2016 - March 15, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
DENVER, CO
Past
March 15, 2012 - May 20, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
CENTENNIAL, CO
Past
March 2, 2012 - May 20, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
CENTENNIAL, CO
Past
June 25, 2008 - February 21, 2012
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GREENWOOD VILLAGE, CO
Past
July 13, 2006 - February 21, 2012
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GREENWOOD VILLAGE, CO
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
IAR
Arizona(5/9/2025)
RR
Colorado(1/29/2019)
IAR
Colorado(1/29/2019)
IAR
Florida(1/3/2020)
RR
Florida(3/1/2023)
IAR
Kentucky(6/30/2025)
RR
Tennessee(9/12/2025)
IAR
Texas(1/30/2019)
RR
Texas(2/26/2019)
IAR
Wisconsin(1/19/2024)
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
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.
