CS
Christopher M. Simich
ONEAMERICA SECURITIES
Hoover, AL 35244
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CRD#: 2807014
CS
Professional summary
Christopher M Simich, who also goes by Christopher M Simich, Christopher Milan Simich, Christopher Simich, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Hoover, Alabama.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher M Simich | Christopher Milan Simich | Christopher Simich
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, P&C)
CRS (Client Relationship Summary) - RIA
Click below to view Christopher M Simich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher M Simich'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
March 12, 2024 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 1855 Data Drive Suite 250, Hoover, AL 35244RIA
BD
CRD#: 4173
Hoover, AL
Current
March 12, 2024 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 1855 Data Drive Suite 250, Hoover, AL 35244RIA
BD
CRD#: 4173
Hoover, AL
Past
November 27, 2023 - February 21, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
JACKSON, MS
Past
September 13, 2019 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
Birmingham, AL
Past
March 25, 2019 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
Birmingham, AL
Past
October 2, 2008 - July 30, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
Birmingham, AL
Past
November 11, 2005 - March 17, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
SHERMAN OAKS, CA
Past
December 23, 1996 - June 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(3/12/2024)
IAR
Alabama(3/12/2024)
RR
Florida(3/12/2024)
IAR
Florida(3/14/2024)
RR
Georgia(11/14/2024)
IAR
Georgia(11/15/2024)
RR
Illinois(3/12/2024)
IAR
Illinois(3/14/2024)
RR
Louisiana(3/12/2024)
IAR
Louisiana(3/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/31/2021
General Securities Representative ExaminationGeneral 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#: 4173Hoover, AL 35244TRUST BUT VERIFY
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