Marya C. Pleasant
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marya Carey Pleasant, CFP®, who also goes by Marya R Carey, Marya Rose Carey, Marya C Pleasant, was a registered financial professional .
Marya is a previously registered financial professional and started their career in finance in 2006. Marya had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Experience
March 6, 2017 - November 24, 2020
ONEAMERICA SECURITIES, INC.
March 6, 2017 - November 24, 2020
ONEAMERICA SECURITIES, INC.
March 3, 2015 - October 20, 2016
LPL FINANCIAL LLC
March 3, 2015 - October 20, 2016
LPL FINANCIAL LLC
November 15, 2012 - December 19, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
November 15, 2012 - December 19, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
October 1, 2012 - October 30, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 30, 2012
J.P. MORGAN SECURITIES LLC
November 5, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 25, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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
Exams
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationSeries 6TO
Date: 3/15/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
