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Richard Wayne Smith

Oneamerica Securities, Inc.

Avon, IN

Indianapolis, IN

CRD 4812570

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Employer firm

Oneamerica Securities, Inc. CRD 4173

$306M regulatory AUM 8,795 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Oneamerica Securities, Inc.

One American Square, Indianapolis, IN 46282 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2011-07-01
  • IN RA
    APPROVED
    Since 2011-07-01

Branch Locations

Avon, IN • United States

One American Square, Indianapolis, IN 46282 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
State Life Insurance Co Avon IN 11/2009 Present
Oneamerica Securities Avon IN 06/2011 Present
  • 11/2009 → Present
    State Life Insurance Co
    Avon, IN
  • 06/2011 → Present
    Oneamerica Securities
    Avon, IN
Previous Registrations
  • 2007-07-30 → 2009-11-02
    The Huntington Investment Company
    Zionsville, IN
    Brownsburg, IN
  • 2006-03-28 → 2007-08-07
    Chase Investment Services Corp.
    Indianapolis, IN
  • 2006-01-13 → 2006-03-30
    Natcity Investments, Inc.
    Indianapolis, IN
    Brownsburg, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-17
  • S66 Uniform Combined State Law Examination
    2004-07-17
Other Names
  • Rick Smith

View on SEC IAPD

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