James T. Booth

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CRD#: 5337284

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.

James Thomas Booth, who also goes by Jim Booth, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2007. James had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Booth

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 8, 2020 - December 31, 2020

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Maryland Heights, MO

Past

July 8, 2020 - December 31, 2020

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Maryland Heights, MO

Past

June 5, 2019 - February 28, 2020

WADDELL & REED

CRD#: 866

CREVE COEUR, MO

Past

June 4, 2019 - February 28, 2020

WADDELL & REED

RIA

CRD#: 866

CREVE COEUR, MO

Past

December 4, 2013 - August 3, 2017

WADDELL & REED

RIA

CRD#: 866

CREVE COEUR, MO

Past

December 4, 2013 - August 3, 2017

WADDELL & REED

CRD#: 866

CREVE COEUR, MO

Past

July 23, 2012 - December 6, 2013

EDWARD JONES

RIA

CRD#: 250

WINFIELD, MO

Past

July 23, 2012 - December 6, 2013

EDWARD JONES

CRD#: 250

WINFIELD, MO

Past

June 15, 2011 - May 17, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ST. LOUIS, MO

Past

June 15, 2011 - May 17, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 27, 2009 - May 17, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

January 1, 2008 - May 17, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 23, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. PETERS, MO

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2007

General Securities Representative Examination

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)

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)

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

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

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.

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Firm Stability Insights

James T. Booth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

WADDELL & REED

WADDELL & REED

WADDELL & REED

WADDELL & REED

EDWARD JONES

EDWARD JONES

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2007

SIE

Date: 8/3/2017

Series 7

Date: 7/20/2007

Current Firm

ONEAMERICA SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ONEAMERICA SECURITIES, INC.

TRUST BUT VERIFY

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