Richard E. Thurz
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.
Richard Edward Thurz, who also goes by Dick Thurz, Rich Thurz, Richard E Thurz, Richard Thurz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - February 5, 2020
ONEAMERICA SECURITIES, INC.
September 20, 2018 - February 5, 2020
ONEAMERICA SECURITIES, INC.
April 18, 2016 - October 6, 2016
PFS INVESTMENTS INC.
November 3, 2015 - October 6, 2016
PFS INVESTMENTS INC.
November 3, 2010 - November 19, 2013
BROOKLIGHT PLACE SECURITIES, INC.
July 17, 2008 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2008 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2006 - January 4, 2007
LIBERTY LIFE SECURITIES LLC
January 17, 2001 - March 31, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
September 1, 1999 - March 31, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
March 26, 1992 - January 11, 1999
METROPOLITAN LIFE INSURANCE COMPANY
March 26, 1992 - January 11, 1999
MSI FINANCIAL SERVICES, INC.
July 21, 1988 - December 19, 1991
METROPOLITAN LIFE INSURANCE COMPANY
July 21, 1988 - December 19, 1991
MSI FINANCIAL 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.
