Eric David Smiley
Professional Summary
Eric David Smiley, who also goes by Eric Smiley, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Indianapolis, Indiana. Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Smiley
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
Contact Information
Main Address
One American Square, Indianapolis, IN 46282Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984Phone Number
(317) 285-1877Established
Indiana since 06/04/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
340SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | — |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| EVERSOLE, DEBORAH RAE | CHIEF COMPLIANCE OFFICER | 4411050 |
| 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
2,300AUM (Assets Under Management)
$306,108,437Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Eric David Smiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric David Smiley's CRS (Customer Relationship Summary).
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