Ruth A. Campbell
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.
Ruth Ann Campbell, who also goes by Ruth Ann Traynham, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1987. Ruth had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2009 - April 2, 2020
ONEAMERICA SECURITIES, INC.
December 24, 2008 - April 2, 2020
ONEAMERICA SECURITIES, INC.
June 16, 2005 - December 31, 2006
COINBASE CAPITAL MARKETS CORP
June 16, 2005 - December 31, 2006
COINBASE CAPITAL MARKETS CORP
December 2, 2003 - April 19, 2005
VALIC FINANCIAL ADVISORS, INC.
November 26, 2003 - April 19, 2005
VALIC FINANCIAL ADVISORS, INC.
June 30, 1999 - December 10, 2003
AVANTAX INVESTMENT SERVICES, INC.
August 29, 1996 - June 16, 1999
MOMENTUM INDEPENDENT NETWORK INC.
December 16, 1993 - August 29, 1996
AVANTAX INVESTMENT SERVICES, INC.
September 8, 1993 - January 1, 1994
PRINCIPAL SECURITIES, INC.
July 6, 1987 - September 14, 1993
AVANTAX INVESTMENT SERVICES, INC.
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.
