JD
James S. Doidge
ONEAMERICA SECURITIES
Scottsdale, AZ 85260
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CRD#: 3178565
JD
Professional summary
James Scott Doidge, CFP®, ChFC®, CLU®, who also goes by Jim Doidge, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Scottsdale, Arizona.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Doidge
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)**Owner: Spence, Cassidy Wealth Partners, LLC-fixed insurance sales**Owner: IST (Income Solutions Technologies), LLC-educational software; revenue from software subscriptions**Sales: Estate Documents Pro-estate planning software**Co-Founder: Acervus Systems-Data Management**Introducing Broker: Britehorn Partners-Mergers and Acquisitions
CRS (Client Relationship Summary) - RIA
Click below to view James Scott Doidge's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Scott Doidge'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®
Experience
Current
February 3, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 9375 E Shea Blvd Suite 114, Scottsdale, AZ 85260RIA
BD
CRD#: 4173
Scottsdale, AZ
Current
February 8, 2017 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 9375 E Shea Blvd Suite 114, Scottsdale, AZ 85260RIA
BD
CRD#: 4173
Scottsdale, AZ
Past
June 8, 2012 - January 20, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PUEBLO, CO
Past
June 8, 2012 - January 20, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PUEBLO, CO
Past
June 1, 2009 - June 18, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PUEBLO, CO
Past
June 1, 2009 - June 18, 2012
MORGAN STANLEY
BD
CRD#: 149777
PUEBLO, CO
Past
May 11, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PUEBLO, CO
Past
May 11, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PUEBLO, CO
Past
May 23, 2003 - May 17, 2007
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PUEBLO, CO
Past
November 11, 2002 - May 17, 2007
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PUEBLO, CO
Past
April 9, 1999 - November 13, 2002
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
March 24, 1999 - April 16, 1999
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
RR
Arizona(2/13/2020)
IAR
Arizona(2/18/2020)
IAR
California(2/3/2017)
RR
California(2/8/2017)
RR
Colorado(3/16/2017)
IAR
Colorado(3/16/2017)
RR
Connecticut(4/23/2024)
IAR
Florida(12/22/2020)
RR
Florida(8/18/2025)
IAR
Kentucky(1/8/2024)
RR
Kentucky(1/30/2024)
IAR
New Mexico(9/18/2020)
RR
New Mexico(10/2/2024)
IAR
Oregon(3/5/2021)
RR
Pennsylvania(10/3/2022)
RR
Rhode Island(5/1/2024)
RR
Tennessee(9/29/2023)
RR
Texas(1/18/2018)
IAR
Texas(1/18/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
