RH
Richard M. Hoe
ONEAMERICA SECURITIES
INDIANAPOLIS, IN 46282
Some features on this profile are disabled
CRD#: 247487
RH
Professional summary
Richard M Hoe, who also goes by Richard March Hoe, Richard Hoe, is a registered financial professional currently at ONEAMERICA SECURITIES, INC. located in Indianapolis, Indiana.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1969. Richard has worked at 19 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard March Hoe | Richard Hoe
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.
1) LIFE & HEALTH INSURANCE AGENT POSITION: Agent NATURE: Sell and service life and health insurance policies as a licensed agent. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 04/01/1968 ADDRESS: 5843 East 50th Street, Tulsa OK 74135, United States DESCRIPTION: Sell and service life and health insurance policies as a licensed agent. 2) RICHARD HOE, AN INDIVIDUAL POSITION: writer NATURE: Writing and editing books, magazine columns and articles INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2017 ADDRESS: 5843 E 50TH Street, Tulsa OK 74135; DESCRIPTION: Writing and editing books, magazine columns and articles 3) VETERANS' TREATMENT COURT POSITION: Mentor NATURE: Volunteer work to begin in December of 2019 or January of 2020 in which I will periodically mentor veterans who are involved in rehabilitative programs administered by a judge appointed for this work through a state program. the mentoring involves helping the veteran adjust to the rigors of the difficult program of rehabilitation. If successful, the rehabilitation may result in the expungement of offenses from the veteran's police and court records. At present, I am preparing to do the work through an educational process. The work may only be done by honorably discharged veterans--I am a U.S. Navy veteran (non-commissioned officer). INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 12/01/2019 ADDRESS: 5843 East 50th Street, Tulsa OK 74135, United States DESCRIPTION: Mentoring veterans who are having problems adjusting to civilian life as described above.
CRS (Client Relationship Summary) - BD
Click below to view Richard M Hoe'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
October 29, 2025 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
February 26, 2025 - August 22, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
STILLWATER, OK
Past
November 3, 2023 - August 19, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
OKLAHOMA CITY, OK
Past
November 3, 2023 - August 19, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
OKLAHOMA CITY, OK
Past
January 28, 2015 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
OKLAHOMA CITY, OK
Past
January 22, 2015 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
OKLAHOMA CITY, OK
Past
December 21, 2010 - January 20, 2015
CETERA ADVISORS LLC
RIA
CRD#: 10299
TULSA, OK
Past
December 21, 2010 - January 20, 2015
CETERA ADVISORS LLC
BD
CRD#: 10299
TULSA, OK
Past
September 15, 2005 - December 31, 2010
FIRST INDEPENDENT ADVISORY SERVICES, INC.
RIA
CRD#: 132678
TULSA, OK
Past
August 31, 2005 - December 31, 2010
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
BD
CRD#: 128904
TULSA, OK
Past
January 2, 2003 - August 30, 2005
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
TULSA, OK
Past
June 8, 2000 - August 30, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 16, 1997 - June 8, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
November 30, 1994 - April 14, 1997
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
April 6, 1990 - November 15, 1994
PATTERSON ICENOGLE, INC.
BD
CRD#: 15652
Past
April 14, 1989 - November 9, 1989
PATTERSON ICENOGLE, INC.
BD
CRD#: 15652
Past
March 11, 1986 - December 4, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
August 10, 1984 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
BD
CRD#: 317
Past
May 11, 1981 - December 4, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 13, 1979 - December 10, 1984
WORLD CAPITAL BROKERAGE, INC.
BD
CRD#: 37
Past
August 31, 1978 - May 11, 1988
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
August 29, 1978 - May 10, 1982
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
Past
February 22, 1977 - October 6, 1978
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
April 12, 1972 - February 21, 1977
NORTH STAR EQUITIES COMPANY
BD
CRD#: 4241
Past
July 1, 1969 - August 13, 1973
FML FUNDS DISTRIBUTION COMPANY
BD
CRD#: 1777
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.
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
Oklahoma(10/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/25/1969
Registered Representative ExaminationSRO 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.
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