ONEAMERICA SECURITIES, INC. of INDIANAPOLIS, IN is an SEC-registered investment adviser (CRD 4173). Regulatory assets under management: $306.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Matthew Thomas Fleetwood | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | — |
| Bryan Keith Hartley | FINOP | — |
| Eric David Smiley | VP, DIRECTOR OF OPERATIONS | — |
| Sean Patrick Mcgoff | CHIEF COUNSEL & SECRETARY | — |
| Nicholas Adam Cayetano | AML OFFICER | — |
| Dennis Joseph Sandelski | AVP, TAX | — |
| Daniel R Snyder | TREASURER | — |
| Kory Lloyd Bickel | CHIEF COMPLIANCE OFFICER | — |
| David A Junker | DIRECTOR | — |
| Chuanming Yang | CHIEF INFORMATION SECURITY OFFICER | — |
| Jason Andrew Hoyle | DIRECTOR | — |
| Shaun Christopher Weyer | SALES DEVELOPMENT DIRECTOR | — |
| Taylor W Lionberger | SALES DEVELOPMENT DIRECTOR | — |
| LUND CONSTANCE ELLEN | TREASURER; TREASURER, DIRECTOR; TREASURER, DIRECTOR,FINOP | — |
| ZEIGLER JOHN WILLIAM | VICE PRESIDENT, INSURANCE | — |
| SWHEAR JOHN CARL | SECRETARY | — |
| FILING NICHOLAS ANTHONY | CHAIRMAN OF BOARD/DIRECTOR; CHIEF EXECUTIVE OFFICER; PRESIDENT (+1 more) | — |
| KELLETT JAMES MATTHEW | DIRECTOR | — |
| YOERGER WILLIAM FESS | DIRECTOR | — |
| ADKINS DEMPSEY RENO | DIRECTOR | — |
| FRAZIER JOSHUA GRANT | COMPLIANCE MANAGER, CROP, SROP | — |
| MOLENDORP DAYTON HAROLD | DIRECTOR; DIRECTOR, VP INDIVIDUAL MARKETING SERVICES | — |
| URBAN JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER, DIRECTOR, FINOP, CROP, AND SROP; PRESIDENT, CHIEF COMPLIANCE OFFICER AND FINOP; PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR AND FINOP (+1 more) | — |
| BENNETT PEGGY ANN | CHIEF COMPLIANCE OFFICER | — |
| WILLIAMS SCOTT BRIAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-05-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, SMITH CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE MADE UNSUITABLE RECOMMENDATIONS FOR A FAMILY TRUST FORMED BY A SENIOR MARRIED COUPLE. THE FINDINGS STATED THAT SMITH AND ANOTHER REGISTERED REPRESENTATIVE AT HIS MEMBER FIRM FIRM RECOMMEN… | Final | $5K |
| 2016-06-24 | regulatory | THE FIRM HELD A VIRGINIA INSURANCE LICENSE AND DID NOT HAVE THE REQUISITE CHARTER OR CERTIFICATE ON FILE WITH THE VIRGINIA CLERK OF THE COMMISSION. | Final | — |
| 2015-02-13 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO MAKE REASONABLE INQUIRIES OR OTHERWISE FOLLOW-UP ON MULTIPLE RED FLAGS THAT INDICATED A REGISTERED REPRESENTATIVE ASSOCIATED WITH THE FIRM WAS MAKING UNSUITABLE OPTIONS RECOM… | Final | $75K |
| 2014-10-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FILED SOME OF ITS REPRESENTATIVES' FORM U4 AMENDMENTS MORE THAN 30 DAYS AFTER THE FIRM LEARNED FACTS OR CIRCUMSTANCES GIVING RISE TO THE AMENDMENTS. THE FINDINGS STATED THAT THE FIRM'S… | Final | $20K |
| 2008-01-28 | regulatory | THE DIVSION ALLEGES THAT OAS COMMITTED 5 VIOLATIONS OF M.G.L.C.175, BY ACTING AS AN INSURACNE PRODUCER IN MASSACHUSETTS WITHOUT BEING LICENSED. THE PENALTY FOR WACH AND EVERY VIOLATION OF M.G.LC. 175 IS A FINE OF NOT MORE THAN $100.00. | Final | $125 |
| 2007-01-05 | regulatory | SELLING OF UNREGISTERED SECURITIES | Final | — |
| 2000-05-18 | regulatory | AS PART OF A SETTLEMENT WITH THE FLORIDA DIVISION OF SECURITIES, AUL EQUITY SALES CORP. AGREED TO A STIPULATION AND CONSENT AGREEMENT WITHOUT ADMITTING OR DENYING THE FINDINGS IT CONDUCTED SECURITIES BUSINESS PRIOR TO BRANCH OFFICE REGISRATION PURSUANT TO THE STATE OF FLORIDA STATUTES. | Final | $8K |
| 2000-01-07 | regulatory | AS PART OF A SETTLEMENT MADE BY ITS PARENT AMERICAN UNITED LIFE INSURANCE COMPANY (AUL)WITH THE MARYLAND SECURITIES DEPT, AUL EQUITY SALES CORP. AGREED TO A CONSENT ORDER WITHOUT ADMITTING OR DENYING THE FINDINGS THAT IT FAILED TO SUPERVISE AN AGENT OF AUL WHO MISAPPROPRIATED A CLIENT'S FUNDS IN AN… | Final | — |
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