RM
Ralph B. Maulorico
ONEAMERICA SECURITIES
Tampa, FL 33607
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CRD#: 323442
RM
Professional summary
Ralph Benjamin Maulorico is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Tampa, Florida.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Ralph has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Non-variable insurance sales (fixed life, fixed annuities, health)**Owner: Medi-Weightloss Clinics of Lakeland - owned by Maulorico & McFadden Holding Company LLC
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Benjamin Maulorico's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Benjamin Maulorico'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 9, 2004 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 3030 North Rocky Point Drive W Suite 160, Tampa, FL 33607RIA
BD
CRD#: 4173
Tampa, FL
Current
July 1, 2004 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 3030 North Rocky Point Drive W Suite 160, Tampa, FL 33607RIA
BD
CRD#: 4173
Tampa, FL
Past
October 28, 1985 - July 13, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
TAMPA, FL
Past
October 17, 1985 - July 13, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 18, 1983 - November 14, 1985
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
June 10, 1970 - January 31, 1983
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
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
California(4/25/2024)
RR
Florida(7/1/2004)
IAR
Florida(8/9/2004)
RR
Georgia(7/1/2004)
RR
Indiana(12/5/2017)
RR
Massachusetts(5/6/2019)
RR
New Jersey(11/8/2004)
RR
North Carolina(11/22/2005)
RR
Ohio(7/1/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/5/1970
Registered Representative ExaminationSRO 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
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Company Information
ONEAMERICA SECURITIES, INC.
CRD#: 4173Tampa, FL 33607TRUST BUT VERIFY
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