Kim M. Purnell
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.
Kim M Purnell, who also goes by Kim Messick Purnell, Kim Purnell, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1987. Kim had worked at 9 firms and has passed the Series 63, Series 6TO, SIE 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
May 14, 2020 - June 2, 2021
ONEAMERICA SECURITIES, INC.
February 22, 2019 - May 22, 2019
W&S BROKERAGE SERVICES, INC.
November 12, 2015 - March 21, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 17, 2000 - July 12, 2001
PRUCO SECURITIES, LLC.
September 18, 1997 - December 31, 1998
WOODBURY FINANCIAL SERVICES, INC.
January 5, 1996 - December 31, 1996
INVESTORS CAPITAL CORP.
January 1, 1994 - September 11, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 25, 1992 - September 29, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 25, 1992 - September 29, 1992
SIGNATOR INVESTORS, INC.
August 15, 1990 - November 19, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 18, 1987 - December 21, 1989
SIGNATOR INVESTORS, 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
Series 6TO
Date: 2/22/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
