Andrew A. Liss

ONEAMERICA SECURITIES

Providence, RI 02903

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CRD#: 1838158

Professional summary

Andrew A Liss, who also goes by Andrew Adam Liss, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Providence, Rhode Island.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Andrew has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Adam Liss

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.

Non-variable insurance sales (fixed life, fixed annuities)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew A Liss's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew A Liss'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

September 16, 2020 - Present

ONEAMERICA SECURITIES, INC.

Office #1: Two Regency Plaza Suite 4, Providence, RI 02903

RIA

CRD#: 4173

Providence, RI

Current

September 16, 2020 - Present

ONEAMERICA SECURITIES, INC.

Office #1: Two Regency Plaza Suite 4, Providence, RI 02903

RIA

CRD#: 4173

Providence, RI

Past

March 1, 2018 - September 10, 2020

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CRANSTON, RI

Past

February 22, 2018 - September 10, 2020

PARK AVENUE SECURITIES LLC

CRD#: 46173

CRANSTON, RI

Past

September 19, 2008 - January 22, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

WARWICK, RI

Past

August 19, 2008 - January 22, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

WARWICK, RI

Past

June 15, 2004 - July 11, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CRANSTON, RI

Past

April 29, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 29, 2004 - July 11, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CRANSTON, RI

Past

January 15, 1990 - May 18, 1990

JSC SECURITIES, INC.

CRD#: 475

Past

March 22, 1989 - July 27, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

October 14, 1988 - November 2, 1988

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

September 15, 1988 - October 7, 1988

WELLSHIRE SECURITIES, INC.

CRD#: 17939

Past

June 22, 1988 - September 7, 1988

SECURITIES USA, INC.

CRD#: 14799

Past

June 22, 1988 - November 4, 1988

MORGAN GLADSTONE & CO. INC.

CRD#: 17062

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(2/5/2021)

IAR

California
(2/5/2021)

Colorado
(1/4/2022)

IAR

Colorado
(1/4/2022)

Connecticut
(4/24/2023)

IAR

Connecticut
(4/24/2023)

Florida
(2/5/2021)

IAR

Florida
(2/5/2021)

Massachusetts
(9/16/2020)

IAR

Massachusetts
(9/22/2020)

New Hampshire
(4/22/2025)

IAR

New Hampshire
(4/22/2025)

IAR

New York
(2/3/2022)

New York
(2/4/2022)

Ohio
(2/5/2021)

IAR

Ohio
(2/5/2021)

Rhode Island
(9/16/2020)

IAR

Rhode Island
(9/16/2020)

West Virginia
(10/23/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/14/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/25/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/2004

General Securities 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

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.

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Advisor Monitoring

Firm Stability Insights

Andrew A. Liss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew A Liss's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew A Liss's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

JSC SECURITIES, INC.

LINSCO FINANCIAL GROUP, INC.

THE STUART-JAMES COMPANY, INCORPORATED

WELLSHIRE SECURITIES, INC.

SECURITIES USA, INC.

MORGAN GLADSTONE & CO. INC.

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/14/2004

Series 63

Date: 7/25/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2004

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.

TRUST BUT VERIFY

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