DT
David R. Tuzson
ONEAMERICA SECURITIES
Scottsbluff, NE 69361
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CRD#: 2460926
DT
Professional summary
David R Tuzson, who also goes by David Richard Tuzson, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Scottsbluff, Nebraska.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Richard Tuzson
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)**Owner: Clarity Financial - fixed insurance sales**Board Member: Community Christian School Foundation
CRS (Client Relationship Summary) - RIA
Click below to view David R Tuzson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David R Tuzson'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
January 19, 2024 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 120 E 16th Street, Scottsbluff, NE 69361RIA
BD
CRD#: 4173
Scottsbluff, NE
Current
June 28, 2021 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 120 E 16th Street, Scottsbluff, NE 69361RIA
BD
CRD#: 4173
Scottsbluff, NE
Past
November 9, 2007 - June 23, 2021
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SCOTTSBLUFF, NE
Past
February 21, 2006 - March 28, 2006
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
SCOTTSBLUFF, NE
Past
August 22, 2003 - February 17, 2006
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
MERIDIAN, ID
Past
March 23, 1994 - September 9, 2003
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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
Colorado(6/28/2021)
IAR
Colorado(1/19/2024)
RR
Florida(2/13/2024)
RR
Georgia(1/26/2023)
RR
Hawaii(11/8/2024)
RR
Illinois(8/10/2021)
RR
Indiana(4/29/2024)
RR
Nebraska(6/28/2021)
IAR
Nebraska(1/19/2024)
RR
New Mexico(2/13/2024)
RR
North Carolina(8/10/2021)
RR
South Dakota(6/28/2021)
RR
Wyoming(6/28/2021)
IAR
Wyoming(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ONEAMERICA SECURITIES, INC.
CRD#: 4173Scottsbluff, NE 69361TRUST BUT VERIFY
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