MC
Maxwell A. Coulliette
ONEAMERICA SECURITIES
Cottonwood Heights, UT 84047
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CRD#: 1144656
MC
Professional summary
Maxwell Albert Coulliette, CFP®, who also goes by Mac Coulliette, Max Coulliette, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Cottonwood Heights, Utah.
Maxwell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Maxwell has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mac Coulliette | Max Coulliette
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.
Non-variable insurance sales (fixed life, fixed annuities, health)**Owner: Intermountain Professional Education, LLC - continuing education programs**Owner: Intermountain Financial Advisors, Inc. (DBA: One Financial Advisors) - insurance agency**Owner: One Financial Network**President/Senior Pension Consultant: National Pension Partners**Owner: Intermountain Financial Management, LLC - fixed insurance sales**Owner: Maxwell & Associates, LLC (DBA: One Financial Network) - fixed insurance sales**Board Member/Advisor: IBM.TV - operated by Moneymasters PBS (not for profit company) mission is to provide quality TV channels and movies in areas not covered by traditional media
CRS (Client Relationship Summary) - RIA
Click below to view Maxwell Albert Coulliette's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maxwell Albert Coulliette'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®
CFP®
Start date: 1987
Experience
Current
March 10, 2004 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 1225 E Fort Union Blvd Suite 350, Cottonwood Heights, UT 84047RIA
BD
CRD#: 4173
Cottonwood Heights, UT
Current
February 2, 2004 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 1225 E Fort Union Blvd Suite 350, Cottonwood Heights, UT 84047RIA
BD
CRD#: 4173
Cottonwood Heights, UT
Past
May 16, 2003 - February 2, 2004
FIRST WESTERN ADVISORS
RIA
CRD#: 13623
MIDVALE , UT
Past
May 15, 2003 - February 2, 2004
FIRST WESTERN ADVISORS
BD
CRD#: 13623
HOLLADAY, UT
Past
May 24, 2000 - May 9, 2003
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SALT LAKE CITY, UT
Past
February 2, 2000 - May 9, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 15, 1986 - February 9, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
July 13, 1983 - January 28, 1986
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
July 13, 1983 - January 29, 1986
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
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.
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
Arizona(2/2/2004)
IAR
Arizona(3/11/2004)
RR
California(4/5/2004)
RR
Colorado(1/24/2007)
IAR
Colorado(10/25/2019)
RR
Idaho(2/2/2004)
RR
Maryland(1/28/2022)
RR
Nevada(1/24/2007)
RR
New Mexico(12/1/2021)
IAR
New Mexico(1/4/2022)
RR
Utah(2/2/2004)
IAR
Utah(3/10/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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)
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.
