David A. Ward

ONEAMERICA SECURITIES

Raleigh, NC

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CRD#: 5924877

Professional summary

David Andrew Ward is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Raleigh, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view David Andrew Ward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Ward'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 19, 2026 - Present

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Raleigh, NC

Current

May 11, 2026 - Present

ONEAMERICA SECURITIES, INC.

Office #1: One American Square, Indianapolis, IN 46282

RIA

CRD#: 4173

INDIANAPOLIS, IN

Past

July 14, 2016 - June 20, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RALEIGH, NC

Past

July 14, 2016 - June 20, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RALEIGH, NC

Past

August 19, 2013 - August 5, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MORRISVILLE, NC

Past

August 19, 2013 - August 5, 2016

LPL FINANCIAL LLC

CRD#: 6413

MORRISVILLE, NC

Past

September 14, 2011 - August 28, 2013

MORGAN STANLEY

RIA

CRD#: 149777

RALEIGH, NC

Past

July 18, 2011 - August 28, 2013

MORGAN STANLEY

CRD#: 149777

RALEIGH, NC

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

North Carolina
(5/19/2026)

IAR

North Carolina
(5/19/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/23/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/16/2011

General Securities 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)

PREMIUM

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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

David A. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Ward's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Andrew Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

ONEAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2011

Series 63

Date: 8/29/2011

SIE

Date: 10/1/2018

Series 31

Date: 3/23/2013

Series 7

Date: 7/16/2011

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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