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JS

John A. Stuart

Some features on this profile are disabled
CRD#: 2027252
JS

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.

John Albert Stuart, who also goes by John A Stuart, John Albert Stuart Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1990. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John A Stuart | John Albert Stuart Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 4, 2014 - June 25, 2014

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
BATON ROUGE, LA
Past

February 10, 2010 - February 19, 2014

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BATON ROUGE, LA
Past

August 10, 2009 - January 13, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
BATON ROUGE, LA
Past

August 10, 2009 - January 13, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
BATON ROUGE, LA
Past

May 6, 2008 - July 6, 2009

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
BATON ROUGE, LA
Past

April 2, 2008 - July 6, 2009

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
BATON ROUGE, LA
Past

November 15, 2005 - February 7, 2008

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
BATON ROUGE, LA
Past

March 20, 2000 - June 28, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

April 27, 1998 - March 20, 2000

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
NEW ORLEANS, LA
Past

May 15, 1990 - January 6, 1998

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/24/1990
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/14/1990
Investment Company Products/Variable Contracts Representative Examination

Current Firm

ONEAMERICA SECURITIES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

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.

Company Information

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173

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