Ruben D. Vazquez-cotto
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.
Ruben Dario Vazquez-cotto, who also goes by Ruben Dario Vazquez Cotto, Ruben Dario Vazquezcotto, Ruben Vazquez, Ruben Dario Vazquez Cotto, Ruben Dario Vazquez-cotto, was a registered financial professional .
Ruben is a previously registered financial professional and started their career in finance in 1991. Ruben had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2019 - May 13, 2020
ONEAMERICA SECURITIES, INC.
August 24, 2018 - January 24, 2019
ONEAMERICA SECURITIES, INC.
September 14, 2015 - December 20, 2016
SECURITIES AMERICA, INC.
July 24, 2012 - September 11, 2013
SB ADVISORY, LLC
July 10, 2012 - September 11, 2013
IFS SECURITIES
February 1, 2011 - June 19, 2012
FAIRBRIDGE CAPITAL MARKETS
November 19, 2008 - January 28, 2010
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 2, 2008 - October 15, 2008
UNIVERSAL FINANCIAL SERVICES INC.
September 16, 2002 - August 9, 2007
CETERA WEALTH SERVICES, LLC
March 25, 1999 - August 9, 2007
CETERA WEALTH SERVICES, LLC
November 18, 1997 - April 13, 1999
IFMG SECURITIES, INC.
May 21, 1997 - March 26, 1998
POPULAR SECURITIES, LLC
March 14, 1994 - May 21, 1997
MARKETING ONE SECURITIES, INC.
March 8, 1991 - March 25, 1994
PFS INVESTMENTS 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.
