Jeffrey W. Tatham
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.
Jeffrey Wayne Tatham, who also goes by Jeff Tatham, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2005 - September 23, 2010
ONEAMERICA SECURITIES, INC.
December 17, 2001 - December 4, 2003
ONEAMERICA SECURITIES, INC.
October 3, 1996 - December 31, 1997
ONEAMERICA SECURITIES, INC.
October 3, 1996 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
January 28, 1994 - March 21, 1996
AMERICAN UNITED LIFE INSURANCE COMPANY
January 28, 1994 - December 31, 1997
ONEAMERICA SECURITIES, INC.
June 14, 1991 - August 13, 1992
MML INVESTORS SERVICES, LLC
February 23, 1990 - March 26, 1991
SENTRA SECURITIES CORPORATION
August 25, 1989 - January 23, 1990
FIRST AFFILIATED SECURITIES
November 9, 1988 - August 25, 1989
PFG SECURITIES, INC.
December 16, 1986 - October 14, 1988
WASHINGTON NATIONAL EQUITY COMPANY
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
Current 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.
