Heriberto Gonzalez

ONEAMERICA SECURITIES

Providence, RI 02903

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CRD#: 5727023

Professional summary

Heriberto Gonzalez, who also goes by Eric Gonzalez, Heriberto Gonzalez Hernandez, is a registered financial professional currently at ONEAMERICA SECURITIES, INC. located in Providence, Rhode Island.

Heriberto is registered as a RR (Registered Representative) and started their career in finance in 2010. Heriberto has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Gonzalez | Heriberto Gonzalez Hernandez

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 Heriberto Gonzalez'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

September 23, 2020 - Present

ONEAMERICA SECURITIES, INC.

Office #1: Two Regency Plaza Suite 4, Providence, RI 02903

RIA

CRD#: 4173

Providence, RI

Past

September 8, 2017 - September 11, 2020

PARK AVENUE SECURITIES LLC

CRD#: 46173

CRANSTON, RI

Past

March 25, 2017 - July 31, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

EAST PROVIDENCE, RI

Past

March 25, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

EAST PROVIDENCE, RI

Past

July 15, 2010 - November 13, 2014

SIGNATOR INVESTORS, INC.

CRD#: 468

WARWICK, RI

Past

January 6, 2010 - April 22, 2010

NYLIFE SECURITIES LLC

CRD#: 5167

PROVIDENCE, RI

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.

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

Massachusetts
(6/23/2021)

Rhode Island
(9/23/2020)

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

Series 63

Date: 2/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/30/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Heriberto Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heriberto Gonzalez's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/2010

SIE

Date: 10/1/2018

Series 6

Date: 12/30/2009

FINRA

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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