TA
Thomas V. Alessi
ONEAMERICA SECURITIES
Newton, MA 02466
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CRD#: 3268500
TA
Professional summary
Thomas Vincent Alessi, who also goes by Thomas V Alessi, Tom Alessi, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Newton, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas V Alessi | Tom Alessi
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)**President: ARIES Foundation for Financial Education 501(c)3 - provide financial wellness workshops for companies and organizations and for parents with special needs children**Board Member: Engaging Aging
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Vincent Alessi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Vincent Alessi'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
February 24, 2014 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 134 Rumford Ave Suite 201, Newton, MA 02466RIA
BD
CRD#: 4173
Newton, MA
Current
January 24, 2014 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 134 Rumford Ave Suite 201, Newton, MA 02466RIA
BD
CRD#: 4173
Newton, MA
Past
January 11, 2012 - January 27, 2014
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NEWTON, MA
Past
January 11, 2012 - January 27, 2014
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NEWTON, MA
Past
June 19, 2007 - January 12, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NORWOOD, MA
Past
September 1, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 1, 1999 - January 12, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NORWOOD, 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
Colorado(1/5/2023)
RR
Connecticut(1/12/2017)
IAR
Connecticut(4/29/2022)
RR
Florida(4/12/2016)
IAR
Florida(4/15/2016)
RR
Massachusetts(1/24/2014)
IAR
Massachusetts(2/24/2014)
RR
New Hampshire(5/4/2016)
IAR
New Hampshire(12/1/2021)
RR
New York(5/10/2018)
IAR
New York(9/3/2021)
IAR
North Carolina(8/30/2021)
RR
Rhode Island(3/6/2019)
IAR
Rhode Island(6/9/2023)
RR
Texas(4/11/2024)
Exams
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.
Company Information
ONEAMERICA SECURITIES, INC.
CRD#: 4173Newton, MA 02466TRUST BUT VERIFY
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