James Allison
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.
James Allison, who also goes by James Allison Jr, James Allison, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 13 firms and has passed the Series 65, 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
May 21, 2024 - April 10, 2026
ONEAMERICA SECURITIES, INC.
May 4, 2017 - September 3, 2019
NATIONWIDE SECURITIES, LLC
June 12, 2006 - December 11, 2006
FORTUNE FINANCIAL SERVICES, INC.
September 16, 2003 - September 20, 2004
CAPITAL SECURITIES OF AMERICA, INC.
September 13, 2002 - October 29, 2002
ARISTATRADE SECURITIES, LLC
June 18, 2002 - August 1, 2002
CONTINENTAL BROKER-DEALER CORP.
November 16, 2000 - March 14, 2002
BNY MELLON SECURITIES CORPORATION
October 25, 1999 - January 7, 2000
PRESTON LANGLEY ASSET MANAGEMENT, INC.
May 13, 1999 - July 20, 1999
MAY, DAVIS GROUP INC.
September 17, 1998 - April 28, 1999
WEATHERLY SECURITIES CORPORATION
July 31, 1998 - September 11, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
July 20, 1998 - August 11, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
May 22, 1998 - August 3, 1998
LADENBURG CAPITAL MANAGEMENT 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.
