Dwight A. Heikkila
Professional summary
Dwight Allen Heikkila is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in New Haven, Connecticut.
Dwight is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Dwight has worked at 10 firms and has passed the Series 65, Series 63, Series 22TO, Series 52TO, SIE, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dwight Allen Heikkila's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dwight Allen Heikkila's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2014 - Present
ONEAMERICA SECURITIES, INC.
February 11, 2014 - Present
ONEAMERICA SECURITIES, INC.
Office #1: One American Square, Indianapolis, IN 46282October 25, 2012 - February 13, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
October 24, 2012 - February 5, 2014
FIRST ALLIED SECURITIES, INC.
November 15, 2007 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
November 9, 2007 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
September 21, 2000 - September 24, 2007
EQUITABLE ADVISORS, LLC
February 28, 2000 - September 24, 2007
EQUITABLE ADVISORS, LLC
May 6, 1998 - February 18, 2000
1717 CAPITAL MANAGEMENT COMPANY
September 26, 1995 - April 15, 1998
NYLIFE SECURITIES LLC
March 20, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 20, 1991 - September 14, 1995
PRUCO SECURITIES, LLC.
October 20, 1980 - April 5, 1991
EQUITABLE ADVISORS, LLC
September 23, 1980 - April 5, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
(2/11/2014)
(2/12/2014)
(2/24/2014)
(2/25/2014)
(1/21/2025)
(7/25/2024)
(9/18/2024)
(2/24/2014)
(2/24/2014)
(8/13/2021)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 9/8/1980
Registered Representative ExaminationFINRA
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.
