Dax T. Hale
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.
Dax T Hale, who also goes by Dax Thomas Hale, Dax Hale, was a registered financial professional .
Dax is a previously registered financial professional and started their career in finance in 2008. Dax had worked at 10 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2023 - August 6, 2024
ONEAMERICA SECURITIES, INC.
October 30, 2023 - August 6, 2024
ONEAMERICA SECURITIES, INC.
April 8, 2021 - July 30, 2022
J.P. MORGAN SECURITIES LLC
April 8, 2021 - July 30, 2022
J.P. MORGAN SECURITIES LLC
January 21, 2020 - April 16, 2021
PORTFOLIO MEDICS, LLC
October 15, 2019 - January 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2019 - January 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 2016 - August 10, 2018
AVANTAX ADVISORY SERVICES
April 22, 2016 - August 10, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 29, 2015 - April 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2015 - April 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2014 - December 18, 2014
CHARLES SCHWAB & CO., INC.
April 28, 2014 - December 18, 2014
CHARLES SCHWAB & CO., INC.
January 19, 2010 - February 28, 2014
ACTIVE INVESTMENT MANAGEMENT, LLC
October 22, 2008 - January 12, 2010
EDWARD JONES
September 26, 2008 - January 12, 2010
EDWARD JONES
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
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.
