AH
Alexander J. Halsey
ON INVESTMENT MANAGEMENT CO
Lee's Summit, MO 64064
Some features on this profile are disabled
CRD#: 7937032
AH
Professional summary
Alexander Johnathan Halsey, who also goes by Alexander Halsey, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Lee's Summit, Missouri and THE O.N. EQUITY SALES COMPANY located in Lee's Summit, Missouri.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Alexander has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alexander Halsey
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Johnathan Halsey'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
October 25, 2024 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 2641 Ne Mcbaine Drive, Lee's Summit, MO 64064RIA
CRD#: 105662
Lee's Summit, MO
Current
August 20, 2024 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 2641 Ne Mcbaine Drive, Lee's Summit, MO 64064BD
CRD#: 2936
Lee's Summit, MO
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
Alabama(1/2/2025)
IAR
Alabama(1/2/2025)
RR
Alaska(1/2/2025)
RR
Arizona(1/2/2025)
IAR
Arizona(1/17/2025)
RR
Arkansas(1/2/2025)
IAR
Arkansas(1/2/2025)
RR
California(1/2/2025)
IAR
California(1/2/2025)
RR
Colorado(1/2/2025)
IAR
Colorado(1/2/2025)
RR
District of Columbia(1/2/2025)
RR
Florida(1/2/2025)
IAR
Florida(1/29/2025)
RR
Georgia(1/2/2025)
IAR
Georgia(1/3/2025)
RR
Idaho(1/2/2025)
RR
Illinois(1/2/2025)
IAR
Illinois(1/2/2025)
RR
Iowa(1/2/2025)
IAR
Iowa(1/2/2025)
RR
Kansas(8/20/2024)
IAR
Kansas(10/25/2024)
RR
Louisiana(1/2/2025)
IAR
Louisiana(1/2/2025)
RR
Maryland(1/2/2025)
RR
Michigan(1/2/2025)
IAR
Michigan(1/2/2025)
RR
Missouri(8/20/2024)
IAR
Missouri(1/17/2025)
RR
Montana(1/2/2025)
IAR
Montana(1/2/2025)
RR
Nebraska(1/2/2025)
RR
New Mexico(1/2/2025)
RR
New York(1/2/2025)
RR
North Carolina(1/2/2025)
IAR
North Carolina(1/2/2025)
RR
Ohio(1/2/2025)
IAR
Ohio(1/6/2025)
RR
Oklahoma(1/2/2025)
IAR
Oklahoma(1/2/2025)
RR
Oregon(1/2/2025)
IAR
Oregon(1/21/2025)
RR
Pennsylvania(1/2/2025)
IAR
Pennsylvania(1/2/2025)
RR
South Carolina(1/2/2025)
RR
South Dakota(1/2/2025)
RR
Tennessee(1/2/2025)
RR
Texas(1/2/2025)
IAR
Texas(1/2/2025)
RR
Utah(1/17/2025)
RR
Virginia(1/2/2025)
IAR
Virginia(5/15/2025)
RR
Washington(1/2/2025)
IAR
Washington(1/2/2025)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/19/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
