NS
Nathan A. Smith
ONEAMERICA SECURITIES
Brandon, SD
Some features on this profile are disabled
CRD#: 4260897
NS
Professional summary
Nathan A Smith, who also goes by Nathan Allen Smith, Nathan Smith, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Brandon, South Dakota.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nathan has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Allen Smith | Nathan Smith
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc
CRS (Client Relationship Summary) - RIA
Click below to view Nathan A Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan A Smith'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
July 27, 2023 - Present
ONEAMERICA SECURITIES, INC.
RIA
BD
CRD#: 4173
Brandon, SD
Current
July 26, 2023 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
August 31, 2022 - June 28, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Brandon, SD
Past
August 25, 2022 - June 28, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Brandon, SD
Past
December 8, 2021 - July 22, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
JOHNS CREEK, GA
Past
December 6, 2021 - July 22, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
JOHNS CREEK, GA
Past
December 9, 2015 - November 3, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
July 29, 2015 - November 3, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
May 12, 2014 - July 27, 2015
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
August 6, 2012 - May 13, 2014
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
July 17, 2012 - July 23, 2012
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SAINT CLOUD, MN
Past
July 6, 2012 - July 23, 2012
CETERA ADVISORS LLC
BD
CRD#: 10299
SAINT CLOUD, MN
Past
July 5, 2012 - July 23, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAINT CLOUD, MN
Past
October 3, 2011 - July 23, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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
Alabama(7/27/2023)
RR
Alaska(8/11/2023)
RR
Arizona(9/21/2023)
RR
Arkansas(8/28/2023)
RR
California(7/27/2023)
RR
Colorado(9/21/2023)
RR
Connecticut(7/26/2023)
RR
Delaware(8/3/2023)
RR
District of Columbia(7/28/2023)
RR
Florida(7/27/2023)
RR
Georgia(7/31/2023)
RR
Hawaii(9/22/2023)
RR
Idaho(7/28/2023)
RR
Illinois(8/1/2023)
RR
Indiana(8/8/2023)
RR
Iowa(7/26/2023)
RR
Kansas(7/27/2023)
RR
Kentucky(8/4/2023)
RR
Louisiana(7/31/2023)
RR
Maine(7/27/2023)
RR
Maryland(8/1/2023)
RR
Massachusetts(7/27/2023)
RR
Michigan(8/24/2023)
RR
Minnesota(7/27/2023)
RR
Mississippi(7/27/2023)
RR
Missouri(7/27/2023)
RR
Montana(7/27/2023)
RR
Nebraska(7/27/2023)
RR
Nevada(8/25/2023)
RR
New Hampshire(8/2/2023)
RR
New Jersey(7/27/2023)
RR
New Mexico(7/27/2023)
RR
New York(7/27/2023)
RR
North Carolina(7/26/2023)
RR
North Dakota(8/1/2023)
RR
Ohio(7/27/2023)
RR
Oklahoma(7/31/2023)
RR
Oregon(7/26/2023)
RR
Pennsylvania(7/31/2023)
RR
Rhode Island(7/28/2023)
RR
South Carolina(7/26/2023)
RR
South Dakota(7/26/2023)
IAR
South Dakota(7/27/2023)
RR
Tennessee(7/27/2023)
RR
Texas(7/27/2023)
RR
Utah(8/21/2023)
RR
Vermont(7/31/2023)
RR
Virginia(7/27/2023)
RR
Washington(7/27/2023)
RR
West Virginia(7/27/2023)
RR
Wisconsin(7/27/2023)
RR
Wyoming(7/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 2/15/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
