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EP

Enrique E. Plata

ONEAMERICA SECURITIES
Corona, CA 92883
Some features on this profile are disabled
CRD#: 5178712
EP

Professional summary

Enrique E Plata, who also goes by Rick Ernesto Plata, Enrique E Plata, Enrique Ernesto Plata, Rick E Plata, Rick Plata, is a registered financial professional currently at ONEAMERICA SECURITIES, INC. located in Corona, California.

Enrique is registered as a RR (Registered Representative) and started their career in finance in 2006. Enrique has worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Ernesto Plata | Enrique E Plata | Enrique Ernesto Plata | Rick E Plata | Rick Plata

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Enrique E Plata's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 13, 2025 - Present

ONEAMERICA SECURITIES, INC.

Office #1: 4160 Temescal Canyon Rd Suite 314c, Corona, CA 92883
RIA
BD
CRD#: 4173
Corona, CA
Past

August 19, 2023 - April 10, 2025

NYLIFE SECURITIES LLC

BD
CRD#: 5167
RIVERSIDE, CA
Past

July 8, 2019 - June 22, 2020

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
MONROVIA, CA
Past

April 5, 2019 - June 4, 2019

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CORONA, CA
Past

July 11, 2017 - September 13, 2018

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
NORCO, CA
Past

October 16, 2015 - November 2, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
RIVERSIDE, CA
Past

June 9, 2011 - December 31, 2011

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
CORONA, CA
Past

January 16, 2009 - July 30, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ONTARIO, CA
Past

January 4, 2008 - July 17, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
REDLANDS, CA
Past

October 23, 2006 - March 1, 2007

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
SAN BERNARDINO, CA

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.
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.

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
California
(5/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/19/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/16/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ONEAMERICA SECURITIES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ONEAMERICA SECURITIES FORM ADV PART 2A APPENDIX 1 (3/31/2025)
ONEAMERICA SECURITIES FORM ADV PART 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

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.

Company Information

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173Corona, CA 92883

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