Joseph L. Whelan
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.
Joseph L Whelan, who also goes by Joe Whelan, Joseph Lawrance Whelan Jr, Joseph Lawrence Whelan Jr, Joseph Lawrence Whelan, Joseph Whelan, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31 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
October 14, 2019 - February 15, 2023
ONEAMERICA SECURITIES, INC.
October 14, 2019 - February 15, 2023
ONEAMERICA SECURITIES, INC.
June 5, 2019 - September 4, 2019
CETERA INVESTMENT ADVISERS LLC
June 5, 2019 - September 4, 2019
CETERA FINANCIAL SPECIALISTS LLC
January 26, 2017 - June 27, 2017
SCOTTRADE INVESTMENT MANAGEMENT
July 7, 2016 - June 27, 2017
SCOTTRADE, INC.
September 1, 2011 - June 30, 2016
CREATIVE FINANCIAL DESIGNS, INC.
September 1, 2011 - June 30, 2016
CFD INVESTMENTS, INC.
July 22, 2008 - December 22, 2009
NYLIFE SECURITIES LLC
April 21, 2006 - July 24, 2006
TRADESTATION SECURITIES, INC.
August 10, 2005 - April 11, 2006
MORGAN STANLEY DW INC.
August 10, 2005 - April 11, 2006
MORGAN STANLEY DW INC.
March 29, 2004 - August 1, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2004 - August 1, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2002 - March 1, 2004
HARRISDIRECT LLC
February 19, 2002 - March 1, 2004
HARRISDIRECT LLC
February 27, 2001 - May 24, 2002
AMERITAS INVESTMENT COMPANY, LLC
January 9, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
May 25, 1999 - December 14, 2000
DASH PRIME LLC
November 1, 1996 - March 12, 1998
QUICK & REILLY, INC.
September 21, 1992 - November 1, 1996
MORGAN STANLEY DW 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.
