CR
Craig E. Richardson
ONEAMERICA SECURITIES
Waltham, MA 02451
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CRD#: 4843687
CR
Craig E RichardsonONEAMERICA SECURITIES
Professional summary
Craig E Richardson, who also goes by Craig E. Richardson, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Waltham, Massachusetts.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Craig has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Aliases
Craig E. Richardson
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.
Non-variable insurance sales (fixed life, fixed annuities, health)**Owner: Craig Richardson Harbour Touch - cash register sales**Secretary: ARIES Foundation for Financial Education 501(c)3 - provide financial wellness workshops for companies and organizations and for parents with special needs children
CRS (Client Relationship Summary) - RIA
Click below to view Craig E Richardson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig E Richardson'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
February 24, 2026 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 400 Fifth Avenue Suite 520, Waltham, MA 02451RIA
BD
CRD#: 4173
Waltham, MA
Current
September 10, 2013 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 400 Fifth Avenue Suite 520, Waltham, MA 02451RIA
BD
CRD#: 4173
Waltham, MA
Past
September 22, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WALTHAM, MA
Past
September 22, 2004 - January 2, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WESTBORO, MA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(1/5/2023)
RR
Connecticut(1/14/2016)
RR
Massachusetts(9/11/2013)
IAR
Massachusetts(2/24/2026)
RR
Nevada(6/6/2024)
RR
New Hampshire(1/20/2016)
RR
Rhode Island(3/3/2014)
RR
Texas(4/11/2024)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 9/21/2004
Investment Company Products/Variable Contracts Representative Examination
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
340
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 | |
| 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 | 2,300 |
| AUM (Assets Under Management) | $ 306,108,437 |
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.
