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Philip Smith

Oneamerica Securities, INC.
28 Years of Experience
Newport Beach, CA
10 DisclosuresBrokerSells Insurance
View SEC Summary
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Philip Smith is a registered investment advisor at Oneamerica Securities, INC., based in Newport Beach, CA, with 28 years of industry experience. Philip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Investment Management, and 2 more. Their firm serves 2,300 clients with $310M in assets under management.

Oneamerica Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
345 advisors
Number of Clients
2,300 clients
Average Client Portfolio
$133K average
Assets Under Management
$306.1M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Overall advisory fees generally range from 0.25% to 2.00% of assets under management, depending on the program and investments selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

20151 SW Birch Street, Suite 250, Newport Beach, CA, 92660

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
May 2024
Final
Customer Dispute
September 2022
Denied
Employment Separation After Allegations
June 2022
Regulatory
May 2022
Final
Employment Separation After Allegations
November 2021
Customer Dispute
September 2020
Pending
Customer Dispute
September 2019
Denied
Customer Dispute
March 2019
Denied
Customer Dispute
May 2015
Denied
Customer Dispute
July 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Philip sells non-variable insurance products, including fixed life and fixed annuities. He is also an agent for Dickerson Employee Benefits, selling health insurance.

Employment History
Current Registrations
Oneamerica Securities, INC.
January 2023 - Present · 3 yrs 9 mos
Oneamerica Securities, INC.Broker
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Oneamerica Securities, INC.
February 2022 - June 2022 · 4 mos
Oneamerica Securities, INC.Broker
February 2022 - June 2022 · 4 mos
Equitable Advisors, LLC
January 2000 - December 2021 · 21 yrs 11 mos
Equitable Advisors, LLCBroker
December 1996 - December 2021 · 25 yrs
The Equitable Life Assurance Society of the United StatesBroker
December 1996 - January 2000 · 3 yrs 1 mo
State Registrations5 states
AZCANVORWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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