John B. Harfert

ONEAMERICA SECURITIES

INDIANAPOLIS, IN 46282

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CRD#: 1617796

Professional summary

John B Harfert, who also goes by John Barnes Harfert, is a registered financial professional currently at ONEAMERICA SECURITIES, INC. located in Indianapolis, Indiana.

John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Barnes Harfert

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) - BD

Click below to view John B Harfert'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 16, 2024 - Present

ONEAMERICA SECURITIES, INC.

Office #1: One American Square, Indianapolis, IN 46282

RIA

CRD#: 4173

INDIANAPOLIS, IN

Past

September 22, 2021 - December 15, 2022

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Greenwood Village, CO

Past

January 30, 2019 - September 14, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

ENGLEWOOD, CO

Past

March 8, 2017 - January 22, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Colorado Springs, CO

Past

July 19, 2016 - March 17, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Colorado Springs, CO

Past

April 6, 2010 - August 3, 2016

PARK AVENUE SECURITIES LLC

CRD#: 46173

GREENWOOD VILLAGE, CO

Past

September 18, 2007 - March 25, 2010

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

COLORADO SPRINGS, CO

Past

December 1, 2006 - September 17, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

COLORADO SPRINGS, CO

Past

January 5, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

COLORADO SPRINGS, CO

Past

April 12, 2002 - January 6, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

March 22, 1999 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 23, 1991 - April 20, 1993

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 22, 1990 - August 23, 1991

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

LITTLETON, CO

Past

June 4, 1987 - April 4, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 4, 1987 - April 4, 1990

MSI FINANCIAL SERVICES, INC.

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.

AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

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

RIA

Registered Investment Advisory firm - SEC (9/13/1999 Approved)

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.

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

Colorado
(10/16/2024)

Washington
(10/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/19/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

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)

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)

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

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John B. Harfert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John B Harfert's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

PARK AVENUE SECURITIES LLC

SUNSET FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

MML INVESTORS SERVICES, LLC

CONSOLIDATED INVESTMENT SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2005

SIE

Date: 10/1/2018

Series 6

Date: 3/19/1999

FINRA

Current Firm

ONEAMERICA SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ONEAMERICA SECURITIES, INC.

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