Brenda K. Shields
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.
Brenda Kathleen Shields, who also goes by Brenda Kathleen Holland, Brenda Shields Holland, Kathleen Holland, Kathleen Pohlman, Brenda Shiel, Kathy Shields, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1993. Brenda had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2015 - December 21, 2015
ONEAMERICA SECURITIES, INC.
June 19, 2013 - August 8, 2013
ALLSTATE FINANCIAL SERVICES, LLC
October 4, 2010 - June 26, 2012
CHASE INVESTMENT SERVICES CORP.
October 4, 2010 - June 26, 2012
CHASE INVESTMENT SERVICES CORP.
June 1, 2010 - September 27, 2010
CUNA BROKERAGE SERVICES, INC.
May 19, 2010 - May 27, 2010
CUNA BROKERAGE SERVICES, INC.
May 19, 2010 - September 27, 2010
CUNA BROKERAGE SERVICES, INC.
January 29, 2010 - April 9, 2010
WADDELL & REED
December 3, 2009 - April 9, 2010
WADDELL & REED
April 16, 2004 - June 8, 2009
TRANSAMERICA CAPITAL, LLC
December 14, 2000 - April 20, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 15, 1999 - October 20, 2000
U.S. BANCORP INVESTMENTS, INC.
October 14, 1997 - August 17, 1999
IFMG SECURITIES, INC.
February 16, 1996 - September 2, 1997
U.S. BANCORP SECURITIES
March 25, 1994 - September 2, 1994
DAIN RAUSCHER INCORPORATED
September 15, 1993 - February 16, 1994
CIBC WORLD MARKETS CORP.
March 3, 1993 - May 28, 1993
INVEST FINANCIAL CORPORATION
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.
