Laura H. Rozek-dill
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.
Laura Holly Rozek-dill, who also goes by Laura H Rozek, Laura Holly Rozek, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2004. Laura had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2017 - January 25, 2025
ONEAMERICA SECURITIES, INC.
April 20, 2017 - January 25, 2025
ONEAMERICA SECURITIES, INC.
September 11, 2014 - March 3, 2017
KEY INVESTMENT SERVICES LLC
September 11, 2014 - March 3, 2017
KEY INVESTMENT SERVICES LLC
April 11, 2012 - July 2, 2014
THE HUNTINGTON INVESTMENT COMPANY
April 11, 2012 - July 2, 2014
THE HUNTINGTON INVESTMENT COMPANY
August 25, 2009 - March 30, 2012
CHASE INVESTMENT SERVICES CORP.
August 25, 2009 - March 30, 2012
CHASE INVESTMENT SERVICES CORP.
September 22, 2004 - August 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 25, 2004 - August 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current 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.
