J G. Walsh
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.
J Garvin Walsh, who also goes by Joseph Garvin Walsh, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1976. J had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 16, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - March 10, 2022
ONEAMERICA SECURITIES, INC.
March 30, 2012 - March 10, 2022
ONEAMERICA SECURITIES, INC.
November 1, 2007 - March 7, 2012
EQUITABLE ADVISORS, LLC
May 21, 2007 - March 7, 2012
EQUITABLE ADVISORS, LLC
February 27, 1997 - December 19, 2005
LEHMAN BROTHERS INC.
October 15, 1996 - February 20, 1997
SBC WARBURG, INC.
October 2, 1995 - September 19, 1996
CREDIT AGRICOLE SECURITIES (USA) INC.
October 5, 1993 - April 11, 1995
CRESVALE INTERNATIONAL, INC.
June 17, 1992 - July 8, 1993
SERFIN SECURITIES,INC.
October 5, 1989 - May 7, 1992
S.G. WARBURG & CO. INC.
May 6, 1981 - May 23, 1989
SALOMON BROTHERS INC.
February 24, 1978 - May 30, 1981
MORGAN STANLEY DW INC.
October 22, 1976 - February 24, 1978
DEAN WITTER & CO. 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
PC
Date: 2/6/1979
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.
