Carl D. Waren
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.
Carl Dennis Waren was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1989. Carl had worked at 10 firms and has passed the Series 65, Series 63 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
July 15, 2003 - December 10, 2004
ONEAMERICA SECURITIES, INC.
July 10, 2003 - December 10, 2004
ONEAMERICA SECURITIES, INC.
April 20, 2001 - July 7, 2003
CARILLON INVESTMENTS, INC.
February 1, 2000 - April 25, 2001
WALNUT STREET SECURITIES, INC.
February 11, 1999 - January 14, 2000
MONY SECURITIES CORPORATION
April 16, 1998 - March 31, 1999
AMERITAS INVESTMENT COMPANY, LLC
February 18, 1998 - February 25, 1998
METROPOLITAN LIFE INSURANCE COMPANY
February 18, 1998 - June 2, 1998
MSI FINANCIAL SERVICES, INC.
February 25, 1994 - December 31, 1997
VOYA FINANCIAL ADVISORS, INC.
October 21, 1992 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
February 6, 1992 - May 8, 1992
MONY SECURITIES CORPORATION
May 2, 1991 - January 28, 1992
SECURITIES MANAGEMENT & RESEARCH, INC.
June 27, 1989 - September 26, 1990
METROPOLITAN LIFE INSURANCE COMPANY
June 27, 1989 - September 26, 1990
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.
