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Gene R. Lewis

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CRD#: 308609
GL

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.

Gene Raymond Lewis was a registered financial professional .

Gene is a previously registered financial professional and started their career in finance in 1972. Gene had worked at 6 firms and has passed the SIE, Series 7, Series 1, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 25, 2001 - December 31, 2005

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
FRESNO, CA
Past

February 28, 1989 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

February 28, 1989 - July 8, 2015

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
FRESNO, CA
Past

August 17, 1987 - November 14, 1988

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
Past

January 8, 1987 - June 5, 1987

PTX SECURITIES, LLC

BD
CRD#: 7735
Past

July 24, 1985 - August 15, 1987

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

June 21, 1972 - July 25, 1977

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/15/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/25/1997
Investment Company Products/Variable Contracts Principal Examination

Current Firm

ONEAMERICA SECURITIES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

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.

Company Information

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173

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