Sam H. Aridi
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.
Sam H Aridi, who also goes by Hassib Hani Aridi, Sam H Aridi, Sam Hani Aridi, Sam Aridi, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1987. Sam had worked at 21 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2014 - December 14, 2016
ONEAMERICA SECURITIES, INC.
June 17, 2013 - September 16, 2013
MORGAN STANLEY
October 24, 2011 - January 11, 2012
CHASE INVESTMENT SERVICES CORP.
September 8, 2008 - September 16, 2011
WORLD GROUP SECURITIES, INC.
March 8, 2007 - February 8, 2008
GUNNALLEN FINANCIAL, INC
October 21, 2005 - December 8, 2005
CHARLES SCHWAB & CO., INC.
January 24, 2003 - November 30, 2004
NEWBRIDGE SECURITIES CORPORATION
March 28, 2002 - October 30, 2002
AURA FINANCIAL SERVICES, INC.
January 2, 2001 - December 31, 2001
AMERICAN INVESTMENT SERVICES, INC.
January 5, 2000 - December 31, 2000
TRAVIS MORGAN SECURITIES INC.
June 9, 1999 - November 23, 1999
TRADEWAY SECURITIES GROUP, INC.
January 6, 1999 - June 11, 1999
EISNER SECURITIES, INC.
July 14, 1997 - January 6, 1999
INVESTORS SECURITY COMPANY, INC.
October 2, 1996 - July 10, 1997
A. G. EDWARDS & SONS, INC.
August 28, 1995 - October 10, 1996
JARON EQUITIES CORP.
April 13, 1994 - August 30, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1993 - April 8, 1994
FIRST ASSET MANAGEMENT, INC.
September 23, 1992 - September 2, 1993
FIRST ASSET MANAGEMENT, INC.
July 15, 1992 - September 23, 1992
U.S. SECURITIES CLEARING CORP.
January 31, 1992 - July 17, 1992
UBS FINANCIAL SERVICES INC.
August 14, 1990 - February 7, 1992
H.J. MEYERS & CO., INC.
June 24, 1987 - August 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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.
