Christopher W. Oneill
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.
Christopher Wellsley Oneill, who also goes by Chris Oneill, Christopher W J Oneill, Christopher Wellsely J Oneill, Christopher Wellsley J Oneill, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1985. Christopher had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2015 - January 18, 2016
CV BROKERAGE, INC
February 21, 2012 - January 29, 2013
MCFARLAND DEWEY SECURITIES CO., LLC
April 20, 2009 - December 1, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
November 1, 2007 - September 8, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 3, 2005 - August 16, 2007
LINKBROKERS DERIVATIVES LLC
September 28, 2004 - April 8, 2005
JEFFERIES LLC
March 13, 2002 - December 11, 2003
CCM SECURITIES, LLC
May 3, 1995 - September 30, 1999
TFS DERIVATIVES LLC
October 13, 1992 - October 25, 1993
BGC FINANCIAL, L.P.
January 16, 1992 - August 11, 1992
FIRST EMPIRE SECURITIES, INC.
October 18, 1989 - January 22, 1990
FIRST INSTITUTIONAL SECURITIES, L.L.C.
October 18, 1989 - January 22, 1990
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
May 12, 1988 - October 27, 1988
WESTCAP SECURITIES, L.P.
February 1, 1988 - June 2, 1988
FIRST STATE INVESTMENTS, INC.
April 23, 1985 - February 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CV BROKERAGE, INC
CRD#: 462 / SEC#: , 8-12429
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
