Edward H. Barrett
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.
Edward Howard Barrett, who also goes by Edward Howard Barrett Jr, Scrappy Barrett, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1976. Edward had worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 5, PC, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2019 - January 10, 2023
ONEAMERICA SECURITIES, INC.
August 8, 2019 - January 10, 2023
ONEAMERICA SECURITIES, INC.
March 5, 2012 - July 23, 2019
CUNA BROKERAGE SERVICES, INC.
January 30, 2012 - July 23, 2019
CUNA BROKERAGE SERVICES, INC.
August 25, 2009 - July 26, 2011
ALLIED BEACON PARTNERS, INC.
January 9, 2009 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
June 18, 2008 - January 30, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 7, 2007 - June 23, 2008
ALLIED BEACON PARTNERS, INC.
December 7, 2000 - June 23, 2005
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 25, 1997 - August 25, 2000
DIRECTED SERVICES LLC
October 30, 1996 - August 29, 1997
PHOENIX FINANCIAL SERVICES CORP
May 18, 1994 - December 31, 1995
JOHN HANCOCK DISTRIBUTORS LLC
June 28, 1988 - May 21, 1993
LEHMAN BROTHERS INC.
April 5, 1984 - August 4, 1988
PRUDENTIAL EQUITY GROUP, LLC
December 29, 1981 - May 7, 1984
MORGAN STANLEY DW INC.
January 31, 1980 - January 6, 1982
UBS FINANCIAL SERVICES INC.
April 1, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamCurrent 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.
