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Investment Adviser Firm Summary

ONEAMERICA SECURITIES, INC. (CRD# 4173 / SEC# 8-15009, 801-56819)
Alternate Names: AUL EQUITY SALES CORP. , ONEAMERICA SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/13/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/30/2000
Alaska 03/30/2012
Arizona 03/22/2000
Arkansas 07/31/2003
California 01/10/2000
Colorado 10/14/1999
Connecticut 03/18/2009
Delaware 01/01/2006
District of Columbia 03/31/2000
Florida 08/15/2000
Georgia 01/27/2000
Hawaii 03/30/2012
Idaho 05/15/2001
Illinois 01/07/2000
Indiana 02/28/2001
Iowa 01/29/2001
Kansas 01/21/2000
Kentucky 03/30/2007
Louisiana 08/15/2001
Maine 03/18/2009
Maryland 01/31/2000
Massachusetts 01/29/2001
Michigan 01/06/2000
Minnesota 01/02/2000
Mississippi 02/26/2001
Missouri 05/07/2003
Montana 03/18/2009
Nebraska 03/18/2009
Nevada 03/18/2009
New Hampshire 03/18/2009
New Jersey 03/18/2009
New Mexico 06/17/2004
New York 02/01/2001
North Carolina 05/10/2002
North Dakota 10/16/2001
Ohio 02/15/2000
Oklahoma 10/02/2001
Oregon 03/18/2009
Pennsylvania 03/06/2001
Rhode Island 03/18/2009
South Carolina 03/18/2009
South Dakota 07/10/2003
Tennessee 01/11/2000
Texas 04/28/1970
Utah 01/29/2001
Vermont 03/18/2009
Virginia 01/31/2000
Washington 05/15/2001
West Virginia 03/18/2009
Wisconsin 12/07/2000
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser