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JL

Jorge Lopes

ONEAMERICA SECURITIES
New Haven, CT
Some features on this profile are disabled
CRD#: 1005837
JL

Professional summary

Jorge Lopes is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in New Haven, Connecticut.

Jorge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jorge has worked at 24 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jorge Lopes's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jorge Lopes'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

October 22, 2024 - Present

ONEAMERICA SECURITIES, INC.

RIA
BD
CRD#: 4173
New Haven, CT
Current

October 16, 2024 - Present

ONEAMERICA SECURITIES, INC.

Office #1: One American Square, Indianapolis, IN 46282
RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past

August 22, 2022 - November 21, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
LA VISTA, NE
Past

August 22, 2022 - November 21, 2022

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

October 22, 2019 - September 2, 2022

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SHELTON, CT
Past

August 27, 2019 - September 2, 2022

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SHELTON, CT
Past

April 25, 2018 - September 17, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NEW HAVEN, CT
Past

August 5, 2016 - December 31, 2017

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
Cheshire, CT
Past

June 28, 2016 - December 31, 2017

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
Cheshire, CT
Past

April 23, 2013 - April 30, 2015

LIFEMARK SECURITIES CORP.

RIA
CRD#: 16204
NEW HAVEN, CT
Past

April 23, 2013 - April 30, 2015

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
ROCHESTER, NY
Past

January 6, 2011 - November 30, 2011

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
MONROE, CT
Past

October 7, 2010 - August 30, 2011

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
MONROE, CT
Past

February 8, 2008 - October 2, 2008

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
BRIDGEPORT, CT
Past

August 20, 2007 - February 14, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HAMDEN, CT
Past

March 14, 2006 - October 17, 2006

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
HARTFORD, CT
Past

September 20, 2004 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

February 3, 2004 - September 17, 2004

NEWALLIANCE INVESTMENTS, INC.

BD
CRD#: 126880
NEW HAVEN, CT
Past

February 21, 2002 - December 4, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 17, 2000 - October 17, 2001

PPI EMPLOYEE BENEFITS CORPORATION

BD
CRD#: 28970
MIDDLETOWN, CT
Past

April 3, 1998 - December 21, 1999

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 26, 1993 - June 20, 1995

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 26, 1993 - April 22, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 2, 1992 - September 2, 1992

PHILADELPHIA FINANCIAL ADVISORS, INC.

BD
CRD#: 7149
PHILADELPHIA, PA
Past

January 22, 1992 - July 2, 1992

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

April 18, 1989 - January 18, 1990

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
SYOSSET, NY
Past

January 24, 1989 - April 6, 1989

PHILADELPHIA FINANCIAL ADVISORS, INC.

BD
CRD#: 7149
PHILADELPHIA, PA
Past

March 1, 1985 - September 15, 1988

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

August 16, 1983 - July 23, 1984

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

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".
ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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
Connecticut
(10/22/2024)
IAR
Connecticut
(10/22/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/3/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/22/1981
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ONEAMERICA SECURITIES FORM ADV PART 2A APPENDIX 1 (3/31/2025)
ONEAMERICA SECURITIES FORM ADV PART 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

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.

Company Information

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173New Haven, CT

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