SM
Serge Mallat
ONEAMERICA SECURITIES
Wildwood, FL 34785
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CRD#: 2292075
SM
Professional summary
Serge Mallat is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Wildwood, Florida.
Serge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Serge has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 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: OneSouth Florida Wealth Advisors, LLC - insurance agency**Board Member: Palm Beach Gator Alumni Club**Board Member: Ferrari Club of America Fort Lauderdale Chapter**Board Member: NAIFA Broward
CRS (Client Relationship Summary) - RIA
Click below to view Serge Mallat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Serge Mallat'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
November 6, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 4076 East State Road 44 Suite 4, Wildwood, FL 34785RIA
BD
CRD#: 4173
Wildwood, FL
Current
November 2, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 4076 East State Road 44 Suite 4, Wildwood, FL 34785RIA
BD
CRD#: 4173
Wildwood, FL
Past
April 17, 2007 - December 13, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FT LAUDERDALE, FL
Past
November 28, 2006 - December 13, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FT LAUDERDALE, FL
Past
July 12, 2005 - November 22, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FT. LAUDERDALE, FL
Past
June 23, 2005 - November 22, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FT. LAUDERDALE, FL
Past
December 10, 2003 - May 13, 2005
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
October 31, 2003 - December 8, 2003
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
July 21, 1993 - October 29, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 18, 1993 - July 12, 1993
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
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
Alaska(3/2/2021)
IAR
Arizona(11/12/2025)
RR
California(11/2/2017)
RR
Florida(11/2/2017)
IAR
Florida(11/6/2017)
RR
Hawaii(11/4/2025)
RR
Idaho(1/4/2022)
RR
Louisiana(12/2/2021)
RR
Maine(3/15/2021)
RR
Nevada(2/16/2023)
RR
North Carolina(9/14/2021)
RR
Pennsylvania(4/23/2018)
IAR
Pennsylvania(4/24/2018)
RR
South Carolina(8/20/2024)
RR
Tennessee(2/26/2024)
RR
Texas(8/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
