William W. Godfrey
Professional summary
William Wade Godfrey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, William had worked at 9 firms, which includes ONEAMERICA SECURITIES INC., THRIVENT INVESTMENT MANAGEMENT INC., EQUITABLE ADVISORS LLC, AMERITAS INVESTMENT COMPANY LLC, VALIC FINANCIAL ADVISORS INC., PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY, OPPENHEIMER & CO. INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2022 - December 6, 2023
ONEAMERICA SECURITIES, INC.
June 14, 2022 - December 6, 2023
ONEAMERICA SECURITIES, INC.
December 10, 2021 - January 18, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
March 18, 2021 - January 18, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
June 14, 2018 - March 4, 2021
EQUITABLE ADVISORS, LLC
June 13, 2018 - March 4, 2021
EQUITABLE ADVISORS, LLC
April 21, 2004 - July 9, 2018
AMERITAS INVESTMENT COMPANY, LLC
February 4, 2000 - July 9, 2018
AMERITAS INVESTMENT COMPANY, LLC
April 22, 1999 - February 8, 2000
VALIC FINANCIAL ADVISORS, INC.
April 22, 1999 - March 8, 2000
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
February 13, 1998 - May 3, 1999
AMERITAS INVESTMENT COMPANY, LLC
March 17, 1995 - February 13, 1998
OPPENHEIMER & CO. INC.
February 8, 1994 - November 23, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 8, 1994 - November 23, 1994
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.
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