Derek M. Mcdougall
Professional summary
Derek Michael Mcdougall, who also goes by Derek Michael Mcdougall, Derek Mcdougall, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Carlsbad, California.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Derek has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Derek Michael Mcdougall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derek Michael Mcdougall's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2019 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 5857 Owens Ave Suite 300, Carlsbad, CA 92008Office #2: 3230 E Imperial Highway, Brea, CA 92821October 1, 2019 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 5857 Owens Ave Suite 300, Carlsbad, CA 92008Office #2: 3230 E Imperial Highway, Brea, CA 92821December 17, 2018 - June 12, 2019
PARK AVENUE SECURITIES LLC
December 14, 2018 - June 12, 2019
PARK AVENUE SECURITIES LLC
May 8, 2018 - December 5, 2018
MML INVESTORS SERVICES, LLC
May 2, 2018 - December 5, 2018
MML INVESTORS SERVICES, LLC
April 22, 2016 - March 30, 2018
PARK AVENUE SECURITIES LLC
April 22, 2016 - March 30, 2018
PARK AVENUE SECURITIES LLC
July 6, 2012 - April 20, 2016
EQUITABLE ADVISORS, LLC
July 6, 2012 - April 20, 2016
EQUITABLE ADVISORS, LLC
August 5, 2011 - June 22, 2012
MML INVESTORS SERVICES, LLC
July 26, 2011 - June 22, 2012
MML INVESTORS SERVICES, LLC
January 12, 2010 - July 19, 2011
FOOTHILL SECURITIES, INC.
January 12, 2010 - July 19, 2011
FOOTHILL SECURITIES, INC.
October 27, 2009 - December 3, 2009
FOOTHILL SECURITIES, INC.
October 27, 2009 - December 3, 2009
FOOTHILL SECURITIES, INC.
December 6, 2005 - March 18, 2008
MML INVESTORS SERVICES, LLC
October 10, 2005 - March 18, 2008
MML INVESTORS 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
(11/18/2019)
(11/18/2019)
(10/1/2019)
(10/1/2019)
(2/14/2025)
(6/9/2022)
(6/10/2022)
(11/17/2022)
(2/21/2024)
(4/28/2020)
(1/9/2025)
(7/13/2020)
(7/13/2020)
(10/24/2025)
(6/27/2025)
(2/23/2024)
(9/24/2024)
(1/3/2022)
(6/10/2022)
(2/11/2025)
(9/27/2022)
(7/23/2025)
(4/23/2021)
(4/23/2021)
(10/11/2022)
Exams
FINRA
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.
