RS
Richard D. Shupick
ONEAMERICA SECURITIES
Jenison, MI
Some features on this profile are disabled
CRD#: 3092345
RS
Professional summary
Richard Dean Shupick, who also goes by Richard Shupick, Rich Shupick, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Jenison, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Shupick | Rich Shupick
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: Design Underwriting Inc. - insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Richard Dean Shupick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Dean Shupick'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
August 16, 2017 - Present
ONEAMERICA SECURITIES, INC.
RIA
BD
CRD#: 4173
Jenison, MI
Current
August 16, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
February 11, 2011 - July 6, 2017
WADDELL & REED
RIA
CRD#: 866
GRAND RAPIDS, MI
Past
February 10, 2011 - July 6, 2017
WADDELL & REED
BD
CRD#: 866
GRAND RAPIDS, MI
Past
March 14, 2008 - June 4, 2010
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
TROY, MI
Past
March 10, 2008 - January 31, 2011
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
TROY, MI
Past
December 7, 2006 - March 10, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
GRAND LEDGE, MI
Past
May 1, 2006 - August 1, 2006
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
GRAND RAPIDS, MI
Past
February 22, 2005 - December 31, 2005
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
GRAND RAPIDS, MI
Past
December 15, 2004 - August 1, 2006
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
GRAND RAPIDS, MI
Past
January 9, 2004 - December 17, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 1, 2002 - November 11, 2003
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
GRAND RAPIDS, MI
Past
October 22, 2002 - November 11, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
October 15, 1999 - October 30, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
IAR
Arizona(10/19/2022)
RR
California(9/8/2022)
RR
Colorado(5/4/2018)
RR
Florida(7/27/2018)
IAR
Florida(9/9/2022)
RR
Georgia(7/27/2018)
IAR
Hawaii(4/30/2020)
RR
Hawaii(10/10/2022)
RR
Illinois(5/4/2018)
IAR
Indiana(10/31/2017)
RR
Indiana(5/4/2018)
RR
Kentucky(3/22/2018)
RR
Louisiana(7/27/2018)
RR
Maryland(10/10/2022)
RR
Michigan(8/16/2017)
IAR
Michigan(8/16/2017)
RR
Missouri(7/27/2018)
RR
Montana(5/4/2018)
IAR
Nevada(4/2/2021)
RR
New Mexico(9/8/2022)
RR
North Carolina(5/7/2018)
IAR
North Carolina(3/16/2021)
RR
North Dakota(10/10/2022)
RR
Ohio(7/27/2018)
RR
Oregon(7/27/2018)
RR
Pennsylvania(10/10/2022)
IAR
Pennsylvania(9/13/2023)
RR
South Dakota(9/8/2022)
RR
Texas(10/4/2017)
IAR
Texas(10/4/2017)
RR
Utah(10/10/2022)
RR
Vermont(10/10/2022)
RR
Virginia(10/10/2022)
RR
Washington(7/27/2018)
RR
Wyoming(2/19/2018)
Exams
State Security Law Exam
State Security Law 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
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.
