James Allison

ONEAMERICA SECURITIES

West Columbia, SC 29169

Some features on this profile are disabled

CRD#: 3025394

Professional summary

James Allison, who also goes by James Allison Jr, James Allison, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in West Columbia, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Allison Jr | James Allison

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)**Owner: First Dominion Financial Group, LLC - financial services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 21, 2024 - Present

ONEAMERICA SECURITIES, INC.

Office #1: 104 Corporate Blvd Suite 408, West Columbia, SC 29169

RIA

CRD#: 4173

West Columbia, SC

Past

May 4, 2017 - September 3, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

NORTH AUGUSTA, SC

Past

June 12, 2006 - December 11, 2006

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

QUAKERTOWN, PA

Past

September 16, 2003 - September 20, 2004

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

Past

September 13, 2002 - October 29, 2002

ARISTATRADE SECURITIES, LLC

CRD#: 112535

HAUPPAUGE, NY

Past

June 18, 2002 - August 1, 2002

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

November 16, 2000 - March 14, 2002

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

October 25, 1999 - January 7, 2000

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, NY

Past

May 13, 1999 - July 20, 1999

MAY, DAVIS GROUP INC.

CRD#: 35622

NEW YORK, NY

Past

September 17, 1998 - April 28, 1999

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Past

July 31, 1998 - September 11, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

PORT WASHINGTON, NY

Past

July 20, 1998 - August 11, 1998

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

May 22, 1998 - August 3, 1998

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, 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)

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.

Highlighted states indicate IAR registrations

IAR

South Carolina
(5/21/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/8/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/28/2017

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 5/21/1998

General Securities Representative Examination

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ONEAMERICA SECURITIES FORM ADV PART 2A APPENDIX 1 (3/31/2025)

ONEAMERICA SECURITIES FORM ADV PART 2A (3/31/2025)

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

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.

Similar Advisors

Daniel Hoefer

EDWARD JONES

IAR

Irmo, SC

Erin Eiras

INDEPENDENT ADVISOR ALLIANCE, LLC

IAR

Jacksonville, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Allison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE SECURITIES, LLC

FORTUNE FINANCIAL SERVICES, INC.

CAPITAL SECURITIES OF AMERICA, INC.

ARISTATRADE SECURITIES, LLC

CONTINENTAL BROKER-DEALER CORP.

BNY MELLON SECURITIES CORPORATION

PRESTON LANGLEY ASSET MANAGEMENT, INC.

MAY, DAVIS GROUP INC.

WEATHERLY SECURITIES CORPORATION

FIRST PROVIDENCE FINANCIAL GROUP, LLC

PACIFIC CORTEZ SECURITIES INCORPORATED

LADENBURG CAPITAL MANAGEMENT INC.

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2023

Series 63

Date: 6/8/2017

SIE

Date: 7/6/2024

Series 6

Date: 4/28/2017

Series 7

Date: 5/21/1998

Current Firm

ONEAMERICA SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ONEAMERICA SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors