Tracey S. Dean
Professional summary
Tracey Stephenie Dean, CFP®, who also goes by Tracey S Dean, Tracey S. Dean, Tracey Stephenie Dean, Tracey S Stout, Tracey Stepenie Stout, Tracey Stephenie Stout, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Millcreek, Utah.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Tracey has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Stephenie Dean's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracey Stephenie Dean's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2023
Experience
April 7, 2025 - Present
ONEAMERICA SECURITIES, INC.
April 7, 2025 - Present
ONEAMERICA SECURITIES, INC.
February 4, 2020 - March 3, 2025
IP FINANCIAL ADVISORY SERVICES LLC
January 13, 2017 - September 18, 2020
INNOVATION PARTNERS LLC
January 9, 2017 - February 28, 2025
INNOVATION PARTNERS LLC
January 3, 2017 - January 19, 2017
LINCOLN INVESTMENT
December 17, 2012 - January 24, 2017
LEGEND ADVISORY, LLC
December 17, 2012 - January 3, 2017
LEGEND EQUITIES CORPORATION
January 12, 2012 - December 13, 2012
GIRARD SECURITIES, INC.
January 3, 2012 - December 13, 2012
GIRARD SECURITIES, INC.
May 17, 2010 - December 21, 2011
EQUITABLE ADVISORS, LLC
May 14, 2010 - December 21, 2011
EQUITABLE ADVISORS, LLC
September 15, 2004 - April 2, 2007
NORTHWESTERN MUTUAL INVESTMENT 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
(4/7/2025)
(4/8/2025)
(4/7/2025)
(4/7/2025)
(4/7/2025)
(4/8/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
