JC
James C. Cook
ON INVESTMENT MANAGEMENT CO
Topeka, KS 66614
Some features on this profile are disabled
CRD#: 6517772
JC
Professional summary
James Christian Cook is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Topeka, Kansas and THE O.N. EQUITY SALES COMPANY located in Topeka, Kansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 3 firms and has passed the Series 66, 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) Summit Pointe Financial; 3601 SW 29th St Topeka KS 66046; not investment related; insurance sales; agent; 08/01/2018 ;160 hours per month (160 hours/month); INSURANCE AGENT 2). Pretty Practical; Not investment related; 2605 Cranley Street; Lawrence, KS 66046; Woodworking; owner; 01/01/2025-present; owner; 10 hours/month(0 during securities trading hours);.
CRS (Client Relationship Summary) - RIA
Click below to view James Christian Cook'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, 2018 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 3601 Sw 29th Street Suitre 210, Topeka, KS 66614RIA
CRD#: 105662
Topeka, KS
Current
August 7, 2018 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 3601 Sw 29th Street Suite 210, Topeka, KS 66614BD
CRD#: 2936
Topeka, KS
Past
May 26, 2016 - August 13, 2018
WADDELL & REED
RIA
CRD#: 866
TOPEKA, KS
Past
January 30, 2016 - August 13, 2018
WADDELL & REED
BD
CRD#: 866
TOPEKA, KS
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(2/9/2022)
IAR
Arizona(2/16/2022)
RR
California(1/15/2021)
IAR
California(3/11/2021)
RR
Colorado(5/19/2020)
IAR
Colorado(5/19/2020)
RR
Georgia(7/14/2021)
IAR
Georgia(7/15/2021)
RR
Idaho(3/22/2022)
IAR
Idaho(3/22/2022)
RR
Illinois(3/22/2022)
IAR
Illinois(4/4/2022)
RR
Kansas(8/7/2018)
IAR
Kansas(8/7/2018)
RR
Missouri(8/7/2018)
IAR
Missouri(8/20/2018)
RR
Nebraska(3/22/2022)
IAR
Nebraska(3/28/2022)
RR
New York(3/22/2022)
RR
Texas(3/22/2022)
IAR
Texas(3/23/2022)
Exams
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
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.
