Brian G. Maher
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.
Brian Gray Maher, who also goes by Brian G Maher, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 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
December 19, 2014 - March 13, 2015
ONEAMERICA SECURITIES, INC.
December 19, 2014 - March 13, 2015
ONEAMERICA SECURITIES, INC.
July 15, 2013 - September 24, 2013
PRUCO SECURITIES, LLC.
July 10, 2013 - September 24, 2013
PRUCO SECURITIES, LLC.
February 13, 2013 - March 6, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 13, 2013 - March 6, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 10, 2011 - January 17, 2013
VALIC FINANCIAL ADVISORS, INC.
May 4, 2011 - January 17, 2013
VALIC FINANCIAL ADVISORS, INC.
November 12, 2010 - March 14, 2011
INTEGRITY ALLIANCE, LLC.
October 27, 2010 - March 14, 2011
INTEGRITY ALLIANCE, LLC.
June 16, 2003 - November 17, 2008
NELSON SECURITIES,INC.
June 16, 2003 - November 17, 2008
NELSON SECURITIES,INC.
March 21, 2001 - June 20, 2003
MERCER ADVISORS
March 6, 2001 - October 30, 2001
WAVELAND CAPITAL PARTNERS LLC
September 15, 2000 - February 15, 2001
WAMU INVESTMENTS, INC.
April 10, 2000 - September 27, 2000
CAL FED INVESTMENTS
December 9, 1997 - April 12, 2000
GUARANTY BROKERAGE SERVICES, INC.
October 31, 1996 - October 23, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1995 - September 13, 1996
GRIFFIN FINANCIAL SERVICES
January 1, 1994 - July 19, 1995
A. G. EDWARDS & SONS, INC.
May 21, 1992 - October 21, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 21, 1992 - October 21, 1993
SIGNATOR INVESTORS, 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.
