ONEDIGITAL INVESTMENT ADVISORS LLC of OVERLAND PARK, KS is an SEC-registered investment adviser (CRD 106766). Regulatory assets under management: $155.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Vincent Lee Morris | PRESIDENT | — |
| David Akira Ito | CHIEF COMPLIANCE OFFICER | — |
| Michael Nephi Esselman | CHIEF INVESTMENT OFFICER | — |
| O'RENICK KENNETH MICHAEL | PRESIDENT; PRESIDENT / CHIEF COMPLIANCE OFFICER | — |
| O'RENICK KATHLEEN JANE | SECRETARY | — |
| UNGASHICK LINDA KATHLEEN | VICE PRESIDENT | — |
| SCOTT ALANA DENNEY | CHIEF COMPLIANCE OFFICER / DIRECTOR | — |
| ANDERSON ANTHONY ALLEN | SHAREHOLDER | — |
| STEWART JEFFREY ROBERT | GENERAL PARTNER | — |
| YOST GEORGE J | SHAREHOLDER | — |
| GULSETH MATTHEW JAMES | SHAREHOLDER | — |
| WHITE WILLIAM DAVID | SHAREHOLDER | — |
| ORENICK KENNETH MICHAEL | PRESIDENT | — |
| MORRIS CATHERINE LEE | MANAGER; PRESIDENT; SHAREHOLDER (+1 more) | — |
| BUKATY MICHAEL JOSEPH | OWNER; OWNER/SECRETARY/TREASURER; SECRETARY/TREASURER (+1 more) | — |
| CHATTOPADHYAY SAUMEN | CHIEF INVESTMENT OFFICER | — |
| TROYER PHILLIP JAMES | CHIEF COMPLIANCE OFFICER | — |
| SNOOK KELLEY FAUSTIN | SHAREHOLDER | — |
| ITO DAVID AKIRA | CHIEF COMPLIANCE OFFICER | — |
| OAKESON DOUGLAS EUGENE | SHAREHOLDER | — |
| MCDONALD JAMES DEAN | SHAREHOLDER | — |
| CHEPENIK BARNETT IRA | SHAREHOLDER | — |
| CHEPENIK JASON KYLE | SHAREHOLDER | — |
| CORDERO CONDE JAVIER ENRIQUE | SHAREHOLDER | — |
| DALL CORBY NORMAN | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-12-20 | regulatory | DENNEY ASSISTED AN INDIVIDUAL'S EFFORTS TO TRANSACT BUSINESS IN THE STATE OF MISSOURI AS AN UNREGISTERED AGENT IN VIOLATION OF SECTION 409.4-402(A) OF THE MISSOURI REVISED STATUTES; DENNEY FAILED TO PROTECT CLIENT INFORMATION FROM UNAUTHORIZED ACCESS; AND DENNEY FAILED TO PROVIDE COPIES OF TEXT MESS… | Final | $15K |
| 2017-12-01 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, DENNEY CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT OVER THE COURSE OF NINE MONTHS, HE DISCLOSED NONPUBLIC INFORMATION (NPI) ABOUT APPROXIMATELY TWO DOZEN CUSTOMERS TO A PERSON WHO WAS STATUTORILY DISQUALIFIED FROM THE BROKERAGE INDUSTRY AND… | Final | $5K |
| 2014-07-07 | regulatory | FAILURE TO REPORT TO THE SUPERINTENDENT WITHIN 30 DAYS OF THE FINAL DISPOSITION OF THE ADMINISTRATIVE ACTION TAKEN BY THE FLORIDA OFFICE OF FINANCIAL REGULATION ON OR ABOUT JANUARY 17, 2012 AND THE FLORIDA DEPARTMENT OF FINANCIAL SERVICES ON OUR ABOUT DECEMBER 27, 2012. | Final | $500 |
| — | regulatory | — | — | — |