RL
Roy F. Lissarrague
ONEAMERICA SECURITIES
Harahan, LA 70123
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CRD#: 2542215
RL
Professional summary
Roy Francis Lissarrague, who also goes by Roy F Lissarrague, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Harahan, Louisiana.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Roy has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roy F Lissarrague
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: Rental properties - passive income only
CRS (Client Relationship Summary) - RIA
Click below to view Roy Francis Lissarrague's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roy Francis Lissarrague'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 4, 2018 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 5817 Citrus Blvd Suite B, Harahan, LA 70123RIA
BD
CRD#: 4173
Harahan, LA
Current
November 29, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 5817 Citrus Blvd Suite B, Harahan, LA 70123RIA
BD
CRD#: 4173
Harahan, LA
Past
May 20, 2016 - August 18, 2016
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Harahan, LA
Past
January 2, 2015 - May 25, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
METAIRIE, LA
Past
July 29, 2002 - July 29, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
HARAHAN, LA
Past
September 27, 1994 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
HARAHAN, LA
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
Louisiana(1/4/2018)
IAR
Louisiana(1/4/2018)
RR
Mississippi(1/9/2018)
RR
Oklahoma(11/18/2024)
RR
Texas(10/31/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 4173Harahan, LA 70123TRUST BUT VERIFY
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