Waymon Stewart
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Waymon Stewart, who also goes by Waymon V Stewart Jr, Waymon V Stewart, Waymon Stewart Jr, was a registered financial professional .
Waymon is a previously registered financial professional and started their career in finance in 1974. Waymon had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2018 - January 9, 2019
ONEAMERICA SECURITIES, INC.
January 20, 2016 - August 18, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
February 1, 2005 - December 31, 2006
MML INVESTORS SERVICES, LLC
November 7, 1994 - December 31, 1996
THE O.N. EQUITY SALES COMPANY
December 2, 1992 - November 1, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 2, 1992 - November 1, 1994
EQUITABLE ADVISORS, LLC
September 25, 1990 - October 15, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 25, 1990 - October 15, 1992
PRUCO SECURITIES, LLC.
January 20, 1984 - September 14, 1990
EQUITABLE ADVISORS, LLC
June 9, 1983 - September 14, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 6, 1981 - January 25, 1983
PRINCIPAL SECURITIES, INC.
July 23, 1979 - December 4, 1980
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 23, 1979 - December 4, 1980
SIGNATOR INVESTORS, INC.
January 4, 1974 - October 10, 1980
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/27/1973
Registered Representative ExaminationCurrent Firm
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
Contact information
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.
