John A. Leadford
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.
John Austin Leadford, who also goes by John Austin Leadford Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 16 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2010 - August 5, 2013
ONEAMERICA SECURITIES, INC.
January 22, 2010 - August 5, 2013
ONEAMERICA SECURITIES, INC.
January 3, 2003 - June 5, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
October 14, 1999 - June 5, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 16, 1998 - December 4, 1998
WINGSPAN INVESTMENT SERVICES
October 6, 1994 - January 28, 1998
SUNPOINT SECURITIES, INC.
August 2, 1993 - October 11, 1994
SIGMA FINANCIAL CORPORATION
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
January 2, 1992 - December 23, 1992
USA FINANCIAL GROUP, INC.
November 7, 1989 - December 31, 1991
ROBERT W. BAIRD & CO. INCORPORATED
November 7, 1989 - January 27, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 2, 1987 - July 26, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
November 2, 1987 - July 26, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 29, 1986 - October 9, 1987
OSAIC FS, INC.
March 13, 1986 - June 27, 1986
MUTUAL SERVICE CORPORATION
September 18, 1985 - March 6, 1986
AMERIPRISE ADVISOR SERVICES, INC.
May 18, 1981 - September 12, 1985
RONEY & CO. L.L.C.
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
Series 8
Date: 11/14/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
