Mark D. Walls
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.
Mark Douglas Walls was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 10 firms and has passed the Series 66, Series 63, SIE 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
February 12, 2013 - December 15, 2014
ONEAMERICA SECURITIES, INC.
February 12, 2013 - December 15, 2014
ONEAMERICA SECURITIES, INC.
January 24, 2012 - December 5, 2012
USADVISORS WEALTH MANAGEMENT, LLC
August 1, 2011 - December 3, 2012
SECURITIES AMERICA ADVISORS, INC.
July 29, 2011 - December 3, 2012
SECURITIES AMERICA, INC.
July 24, 2009 - November 16, 2011
LEGACY TAX AND FINANCIAL PLANNING, LLC
February 6, 2009 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
February 2, 2009 - August 3, 2011
WOODBURY FINANCIAL SERVICES, INC.
April 24, 2008 - January 5, 2009
SECURIAN FINANCIAL SERVICES, INC.
March 26, 2008 - January 5, 2009
SECURIAN FINANCIAL SERVICES, INC.
September 6, 2006 - February 12, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 27, 2004 - August 23, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 1995 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 24, 1995 - August 23, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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.
