Napoleon P. Sta Ana
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.
Napoleon Pamor Sta Ana, who also goes by Ana Napoleon Sta, Napoleon Pamor Sta Ana Jr, Napoleon Pamor Staana, Napoleon Psta Staana, Napoleon Pamor Sta Ana, was a registered financial professional .
Napoleon is a previously registered financial professional and started their career in finance in 1995. Napoleon had worked at 16 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - December 31, 2018
ONEAMERICA SECURITIES, INC.
July 31, 2018 - January 25, 2021
ONEAMERICA SECURITIES, INC.
October 3, 2017 - July 12, 2018
ON INVESTMENT MANAGEMENT CO
October 3, 2017 - July 12, 2018
THE O.N. EQUITY SALES COMPANY
September 16, 2015 - September 6, 2017
PRINCIPAL SECURITIES, INC.
January 3, 2014 - September 17, 2015
EAGLE STRATEGIES LLC
November 22, 2013 - September 17, 2015
NYLIFE SECURITIES LLC
September 28, 2005 - October 2, 2006
AVANTAX ADVISORY SERVICES
May 10, 2005 - May 21, 2009
AVANTAX INVESTMENT SERVICES, INC.
April 12, 2005 - April 25, 2005
WORLD GROUP SECURITIES, INC.
March 12, 2004 - March 16, 2005
CONTEMPORARY FINANCIAL SOLUTIONS, INC.
May 24, 2001 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
September 19, 2000 - May 23, 2001
MONY SECURITIES CORPORATION
October 24, 1997 - September 25, 2000
FFP SECURITIES, INC.
September 20, 1995 - June 6, 1997
1717 CAPITAL MANAGEMENT COMPANY
February 9, 1995 - September 5, 1995
IDS LIFE INSURANCE COMPANY
February 9, 1995 - September 5, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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.
