JG
James M. Garabedian
ONEAMERICA SECURITIES
Lincolnshire, IL 60069
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CRD#: 4659713
JG
Professional summary
James M Garabedian is a registered financial professional currently at ONEAMERICA SECURITIES, INC. located in Lincolnshire, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James M Garabedian'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 28, 2020 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 100 Tri State International Suite 145, Lincolnshire, IL 60069RIA
BD
CRD#: 4173
Lincolnshire, IL
Past
October 7, 2019 - June 24, 2020
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CHICAGO, IL
Past
August 23, 2013 - October 10, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Lisle, IL
Past
November 19, 2003 - August 21, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOMBARD, IL
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.
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(1/17/2021)
RR
California(1/17/2023)
RR
Florida(4/12/2021)
RR
Illinois(10/20/2020)
RR
Indiana(3/7/2024)
RR
Iowa(10/8/2025)
RR
Maine(1/28/2021)
RR
Massachusetts(5/21/2021)
RR
Michigan(12/18/2020)
RR
Minnesota(2/25/2025)
RR
Missouri(12/10/2020)
RR
New Mexico(3/11/2021)
RR
North Carolina(5/31/2022)
RR
South Dakota(12/6/2024)
RR
Texas(1/29/2024)
RR
Virginia(3/21/2022)
RR
Wisconsin(4/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
ONEAMERICA SECURITIES, INC.
CRD#: 4173Lincolnshire, IL 60069TRUST BUT VERIFY
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