Douglas C. Thompson
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.
Douglas Carl Thompson was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2021 - November 8, 2022
ONEAMERICA SECURITIES, INC.
November 24, 2021 - November 8, 2022
ONEAMERICA SECURITIES, INC.
April 27, 2017 - October 1, 2021
CENTER STREET ADVISORS, INC.
April 27, 2017 - October 1, 2021
CENTER STREET SECURITIES, INC.
January 19, 2016 - March 23, 2017
GENESIS WEALTH MANAGEMENT GROUP, LLC
April 19, 2013 - November 25, 2015
ALTON CAPITAL MANAGEMENT, INC.
April 19, 2013 - November 25, 2015
ALTON SECURITIES GROUP INC.
July 27, 2009 - January 7, 2013
EAGLE STRATEGIES LLC
April 2, 2007 - January 7, 2013
NYLIFE DISTRIBUTORS LLC
May 18, 2005 - August 4, 2006
NATIONWIDE SECURITIES, LLC
September 8, 2000 - September 1, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
May 30, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
July 12, 1999 - March 8, 2000
CUNA BROKERAGE SERVICES, INC.
May 29, 1997 - July 8, 1999
SECURITIES MANAGEMENT & RESEARCH, INC.
May 28, 1996 - June 4, 1997
CARDINAL INVESTMENTS, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
