Gregory S. Shuman

ON INVESTMENT MANAGEMENT CO

Lafayette, LA 70503

Some features on this profile are disabled

CRD#: 6797412

Professional summary

Gregory Scott Shuman, who also goes by Greg S. Shuman, Greg Scott Shuman, Greg Shuman, Gregory S. Shuman, Gregory Shuman, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lafayette, Louisiana and THE O.N. EQUITY SALES COMPANY located in Lafayette, Louisiana.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Gregory has worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Aliases

Greg S. Shuman | Greg Scott Shuman | Greg Shuman | Gregory S. Shuman | Gregory Shuman

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.) Guidents - 10/2/2009 - 315 S College Rd, Ste 239, Lafayette, LA, 70503, Owner and independent agent, Service existing clients and help market for new clients, not Invt Rel, Market and sale life, health, and annuity insurance products, 80 hrs/mo; 80 hrs/mo (during trading time_.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Shuman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 12, 2026 - Present

ON INVESTMENT MANAGEMENT CO

Office #1: 315 S College Road Suite 239, Lafayette, LA 70503

RIA

CRD#: 105662

Lafayette, LA

Current

August 12, 2026 - Present

THE O.N. EQUITY SALES COMPANY

Office #1: 315 S College Rd Ste 239, Lafayette, LA 70503

CRD#: 2936

Lafayette, LA

Past

January 8, 2026 - August 7, 2026

CRD#: 6363

Lafayette, LA

Past

October 6, 2023 - July 22, 2024

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LAFAYETTE, LA

Past

October 6, 2023 - July 22, 2024

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LAFAYETTE, LA

Past

May 9, 2023 - October 3, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

LAFAYETTE, LA

Past

May 9, 2023 - October 3, 2023

OSAIC WEALTH, INC.

CRD#: 23131

LAFAYETTE, LA

Past

November 23, 2021 - May 23, 2023

RIA

CRD#: 133358

MERMENTAU, LA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Louisiana
(8/12/2026)

IAR

Louisiana
(8/19/2026)

Texas
(8/12/2026)

IAR

Texas
(8/12/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/2/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/4/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/1/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 11/23/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/26/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

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.

Similar Advisors

Minh Pham

NYLIFE SECURITIES LLC

LAFAYETTE, LA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory S. Shuman

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Shuman's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

THE LEADERS GROUP, INC.

ALTITUDE CAPITAL MANAGEMENT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

BROOKSTONE WEALTH ADVISORS, LLC

KINETIC INVESTMENT MANAGEMENT, INC.

GRADIENT ADVISORS, LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

SEQUENT PLANNING, LLC

QUESTAR ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2024

Series 65

Date: 4/4/2017

Series 7TO

Date: 11/1/2024

Series 6TO

Date: 11/23/2021

SIE

Date: 10/26/2021

FINRA

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

Similar Advisors