Roy A. Alford
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roy Amos Alford, who also goes by Roy A Alford, Roy Alford, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1982. Roy had worked at 12 firms and has passed the Series 63, SIE, Series 6, Series 3, Series 7, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2017 - July 31, 2018
ONEAMERICA SECURITIES, INC.
March 31, 2016 - June 9, 2016
NYLIFE SECURITIES LLC
November 6, 2001 - June 26, 2002
NSA SECURITIES CORPORATION
October 8, 1998 - December 31, 1999
QUESTAR CAPITAL CORPORATION
June 22, 1998 - August 19, 1998
HORNOR, TOWNSEND & KENT, LLC
February 5, 1997 - December 3, 1997
CORPORATE INVESTMENTS GROUP, INC.
November 2, 1995 - January 30, 1996
INVESTORS ASSOCIATES, INC.
August 2, 1995 - January 2, 1996
IBS SECURITIES, LLC
September 21, 1994 - April 7, 1995
MOMENTUM INDEPENDENT NETWORK INC.
January 30, 1992 - September 26, 1994
WATERSTONE FINANCIAL GROUP, INC.
July 9, 1991 - January 6, 1992
CETERA WEALTH SERVICES, LLC
March 16, 1982 - July 17, 1991
WADDELL & REED
Primary Firm SEC Registration
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 12/8/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
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.
