Charles H. Spach
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.
Charles Harold Spach, who also goes by Chuck Spach, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1988. Charles had worked at 13 firms and has passed the Series 63, SIE, Series 6 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
November 14, 2016 - April 25, 2017
ONEAMERICA SECURITIES, INC.
June 30, 2016 - November 15, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
March 18, 2016 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
July 28, 2014 - March 10, 2016
MSI FINANCIAL SERVICES, INC.
January 29, 1999 - August 25, 2000
CAPITAL CLIENT GROUP, INC.
February 24, 1997 - July 24, 1997
BB&T INVESTMENT SERVICES, INC.
July 20, 1993 - February 28, 1997
ESSEX NATIONAL SECURITIES, LLC
July 8, 1993 - February 7, 1997
LASALLE FINANCIAL SERVICES, INC.
April 23, 1993 - July 8, 1993
EAB SECURITIES, INC.
June 25, 1992 - February 19, 1993
CAPITAL BROKERAGE CORPORATION
June 1, 1992 - July 16, 1992
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
January 3, 1990 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
January 5, 1988 - January 19, 1990
PRUCO SECURITIES, LLC.
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.
