JK
Joshua A. Klein
ONEAMERICA SECURITIES
INDIANAPOLIS, IN 46282
Some features on this profile are disabled
CRD#: 4866531
JK
Professional summary
Joshua Adam Klein, who also goes by Josh Klein, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Indianapolis, Indiana.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joshua has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Klein
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) - RIA
Click below to view Joshua Adam Klein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Adam Klein'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, 2010 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Current
February 23, 2010 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
July 27, 2009 - November 3, 2009
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
BLAIRSVILLE, GA
Past
July 23, 2009 - November 3, 2009
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
BLAIRSVILLE, GA
Past
August 9, 2007 - July 28, 2009
FIRST LEGACY SECURITIES, LLC
RIA
CRD#: 47079
BLAIRSVILLE, GA
Past
June 16, 2006 - July 28, 2009
FIRST LEGACY SECURITIES, LLC
BD
CRD#: 47079
BLAIRSVILLE, GA
Past
May 9, 2005 - June 16, 2006
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
November 24, 2004 - May 6, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Alabama(8/16/2017)
RR
Alaska(8/16/2017)
RR
Arizona(8/16/2017)
RR
Arkansas(8/16/2017)
RR
California(8/16/2017)
RR
Colorado(8/16/2017)
RR
Connecticut(8/16/2017)
RR
Delaware(8/16/2017)
RR
District of Columbia(8/16/2017)
RR
Florida(8/16/2017)
RR
Georgia(8/16/2017)
RR
Hawaii(8/16/2017)
RR
Idaho(8/16/2017)
RR
Illinois(8/16/2017)
RR
Indiana(2/23/2010)
IAR
Indiana(2/24/2010)
RR
Iowa(8/16/2017)
RR
Kansas(8/16/2017)
RR
Kentucky(8/16/2017)
RR
Louisiana(8/16/2017)
RR
Maine(8/16/2017)
RR
Maryland(8/16/2017)
RR
Massachusetts(8/16/2017)
RR
Michigan(8/16/2017)
RR
Minnesota(8/16/2017)
RR
Mississippi(8/16/2017)
RR
Missouri(8/16/2017)
RR
Montana(8/16/2017)
RR
Nebraska(8/16/2017)
RR
Nevada(8/16/2017)
RR
New Hampshire(8/16/2017)
RR
New Jersey(8/16/2017)
RR
New Mexico(8/16/2017)
RR
New York(8/16/2017)
RR
North Carolina(8/16/2017)
RR
North Dakota(8/16/2017)
RR
Ohio(8/16/2017)
RR
Oklahoma(8/16/2017)
RR
Oregon(8/16/2017)
RR
Pennsylvania(8/16/2017)
RR
Rhode Island(8/16/2017)
RR
South Carolina(8/16/2017)
RR
South Dakota(8/16/2017)
RR
Tennessee(8/16/2017)
RR
Texas(8/16/2017)
RR
Utah(8/16/2017)
RR
Vermont(8/16/2017)
RR
Virginia(8/16/2017)
RR
Washington(8/16/2017)
RR
West Virginia(8/16/2017)
RR
Wisconsin(8/16/2017)
RR
Wyoming(8/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
