Richard Wayne Smith
Professional Summary
Richard Wayne Smith, who also goes by Rick Smith, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Avon, Indiana. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Wayne Smith, Rick Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
22 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
Contact Information
Main Address
One American Square, Indianapolis, IN 46282Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984Phone Number
(317) 285-1877Established
Indiana since 06/04/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
340SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | — |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| EVERSOLE, DEBORAH RAE | CHIEF COMPLIANCE OFFICER | 4411050 |
| 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
2,300AUM (Assets Under Management)
$306,108,437Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
(7/1/2011)
(7/1/2011)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Wayne Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Wayne Smith's CRS (Customer Relationship Summary).
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