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JF

James J. Frey

Some features on this profile are disabled
CRD#: 1539740
JF

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.

James J Frey, who also goes by James Joseph Frey, Jim Frey, James Frey, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Joseph Frey | Jim Frey | James Frey

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)

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2020 - December 31, 2022

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Mokena, IL
Past

August 25, 2020 - December 31, 2022

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Mokena, IL
Past

August 3, 2017 - February 20, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
FRANKFORT, IL
Past

July 21, 2017 - February 20, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
FRANKFORT, IL
Past

March 14, 2012 - June 9, 2017

WADDELL & REED

RIA
CRD#: 866
MOKENA, IL
Past

March 14, 2012 - June 9, 2017

WADDELL & REED

BD
CRD#: 866
MOKENA, IL
Past

March 26, 2007 - March 22, 2012

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
ORLAND PARK, IL
Past

August 14, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
ORLAND PARK, IL
Past

August 14, 2006 - March 22, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
ORLAND PARK, IL
Past

October 17, 2001 - August 11, 2006

CATHOLIC FINANCIAL SERVICES CORPORATION

BD
CRD#: 37185
MILWAUKEE, WI
Past

January 29, 2001 - September 27, 2001

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

January 21, 2000 - December 22, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

August 18, 1986 - January 12, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 18, 1986 - January 12, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/10/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/15/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/14/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/15/1995
Investment Company Products/Variable Contracts Principal Examination

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#: 4173

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