JF
Joe L. Fernandez
ONEAMERICA SECURITIES
Tampa, FL 33607
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CRD#: 206717
JF
Professional summary
Joe Louis Fernandez JR is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Tampa, Florida.
Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Joe has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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, health)**Owner: Joe Louis Fernandez Jr, LLC-Pass through to consulting life and health Insurance
CRS (Client Relationship Summary) - RIA
Click below to view Joe Louis Fernandez JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joe Louis Fernandez JR'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
February 16, 2015 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 3030 North Rocky Point Drive W Suite 160, Tampa, FL 33607RIA
BD
CRD#: 4173
Tampa, FL
Current
January 2, 2015 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 3030 North Rocky Point Drive W Suite 160, Tampa, FL 33607RIA
BD
CRD#: 4173
Tampa, FL
Past
February 9, 2007 - January 16, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BONITA SPRINGS, FL
Past
February 9, 2007 - January 16, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BONITA SPRINGS, FL
Past
October 24, 2003 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
BONITA SPRINGS, FL
Past
October 4, 2003 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
BONITA SPRINGS, FL
Past
June 7, 1990 - August 6, 2003
ASSET MANAGEMENT SECURITIES CORP.
BD
CRD#: 14433
BOCA RATON, FL
Past
April 17, 1989 - January 11, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
April 17, 1989 - January 11, 1991
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 1, 1985 - March 1, 1989
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
August 25, 1980 - November 28, 1983
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
Past
June 1, 1972 - March 22, 1974
INDEPENDENT SECURITIES CORPORATION
BD
CRD#: 262
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
Arkansas(10/23/2018)
RR
Delaware(1/22/2024)
IAR
Florida(2/16/2015)
RR
Florida(2/17/2015)
RR
Ohio(5/22/2024)
RR
Pennsylvania(5/16/2019)
RR
Virginia(4/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/7/1980
Registered Representative ExaminationPrincipal/Supervisory 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.
Company Information
ONEAMERICA SECURITIES, INC.
CRD#: 4173Tampa, FL 33607TRUST BUT VERIFY
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