DD
Daniel J. Dubois
ONEAMERICA SECURITIES
Newport Beach, CA 92660
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CRD#: 1884628
DD
Professional summary
Daniel James Dubois, who also goes by D.j. Dubois, Dj Dubois, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Newport Beach, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D.j. Dubois | Dj Dubois
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)
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Dubois's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Dubois's 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®
NoneExperience
Current
May 11, 2015 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 20151 Sw Birch Street Suite 250, Newport Beach, CA 92660RIA
BD
CRD#: 4173
Newport Beach, CA
Current
May 8, 2015 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 20151 Sw Birch Street Suite 250, Newport Beach, CA 92660RIA
BD
CRD#: 4173
Newport Beach, CA
Past
January 15, 2015 - April 14, 2015
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
IRVINE, CA
Past
October 11, 2013 - December 17, 2014
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
RIA
CRD#: 144069
IRVINE, CA
Past
September 25, 2013 - April 14, 2015
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
IRVINE, CA
Past
November 2, 2010 - September 18, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
IRVINE, CA
Past
November 2, 2010 - September 18, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
IRVINE, CA
Past
July 6, 2007 - September 7, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
NEWPORT BEACH, CA
Past
July 6, 2007 - September 7, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
NEWPORT BEACH, CA
Past
October 31, 2005 - July 11, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
CORONA, CA
Past
January 31, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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)BD
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.RR
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
RR
Arizona(8/30/2022)
IAR
Arizona(9/6/2022)
RR
California(5/8/2015)
IAR
California(5/11/2015)
RR
Connecticut(3/15/2016)
IAR
Connecticut(11/19/2020)
RR
Florida(7/2/2025)
RR
New Jersey(9/27/2016)
IAR
New Jersey(9/27/2016)
RR
New Mexico(12/3/2015)
IAR
New Mexico(1/18/2024)
RR
New York(12/3/2015)
RR
Virginia(12/3/2015)
IAR
Virginia(11/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
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)BD
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)
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.
