SB
Steven L. Birch
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CRD#: 1362772
SB
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.
Steven Lawrence Birch was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 16, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) DATA ANALYSIS INC. LOCATED AT 12655 BEATRICE STREET, LOS ANGELES, CA 90066, NON-INVESTMENT RELATED, NATURE OF BUSINESS: HOLDING COMPANY, POSITION: DIRECTOR, START DATE: 11/24/2008, APPROXIMATLY 5 HOURS /MONTH WITH 0 HOURS/MONTH DURING SECURITIES TRADING HOURS, DUITIES: AS DIRECTOR, DUTIES INCLUDE OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES AND CORPORATE OBJECTIVES.
(2)MARKETSMITH, INC. LOCATED AT 12655 BEATRICE STREET, LOS ANGELES, CA 90066, NON-INVESTMENT RELATED, NATURE: PROVIDES ONLINE AND PRINT SUBSCRIPTION BASED INVESTMENT RESEARCH TOOLS AND DATABASES, POSITION: DIRECTOR, START DATE: 11/24/2008, APPROXIMATLY 30 HOURS/MONTH, WITH 15 HOURS/MONTH DURING SECURITIES TRADING HOURS, DUITIES: AS DIRECTOR, DUTIES INCLUDE OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES AND CORPORATE OBJECTIVES.
(3)WILLIAM O'NEIL INDIA PRIVATE LIMITED LOCATED AT RAHEJA TOWERS, NO 26 AND 27, 4TH FLOOR, WEST WING, MG ROAD, KARNATAKA, BANGALORE, INDIA 560 001, INVESTMENT RELATED, NATURE: DATA COLLECTION, DATA RESEARCH AND PRODUCT DEVELOPMENT, POSITION: DIRECTOR, START DATE: 11/23/2012, APPROXIMATLY 10 HOURS/MONTH, WITH 0 HOURS/MONTH DURING SECURITIES TRADING HOURS, DUTIES: AS DIRECTOR, DUTIES INCLUDE OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES, CORPORATE OBJECTIVES AND RISK MANAGEMENT.
(4)O'NEIL DIGITAL SOLUTIONS, LLC LOCATED AT 12655 BEATRICE STREET, LOS ANGELES, CA 90066, NON-INVESTMENR RELTAED, NATURE: PRINTING COMPANY, POISITON: DIRECTOR, START DATE: APPROXIMATELY 2 HOURS PER MONTH WITH 1 HOUR DURING SECURITIES TRADING HOURS, DUTIES: OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES AND CORPORATE OBJECTIVES
(5)WILLIAM O'NEIL CHINA PRIVATE LIMITED LOCATED AT CAUSEWAY BAY, HONG KONG, INVESTMENT RELATED, NATURE: START DATE: 04/2016, POSITION TITLE: DIRECTOR, APPROXIMATELY 5 HOURS PER MONTH WITH 2.5 BEING DURING SECURITIES TRADING HOURS. DUTIES: OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES AND CORPORATE OBJECTIVES
(6)O'NEIL SECURITIES, INC LOCATED AT BOSTON, MA, INVESTMENT RELATED, NATURE: BROKER DEALER, START DATE: 01/2010 POSITION TITLE: DIRECTOR, APPROXIMATELY 10 HOURS PER MONTH WITH 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS, DUTIES: OVERSEEING OVERALL BUSINESS ACTIVITIES, BROAD POLICIES, CORPORATE OBJECTIVES AND RISK MANAGEMENT
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 26, 2010 - December 31, 2023
WILLIAM O'NEIL + COMPANY
RIA
CRD#: 152620
LOS ANGELES, CA
Past
March 5, 2008 - February 12, 2010
WILLIAM O'NEIL SECURITIES
RIA
CRD#: 894
LOS ANGELES, CA
Past
September 16, 1998 - February 12, 2010
WILLIAM O'NEIL SECURITIES
BD
CRD#: 894
LOS ANGELES, CA
Past
January 21, 1986 - September 27, 1988
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WO
WILLIAM O'NEIL + COMPANY
WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY
CRD#: 152620 / SEC#: 801-120403
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)California
Registered Investment Advisory firm - (5/4/2021 Terminated)Connecticut
Registered Investment Advisory firm - (4/21/2020 Terminated)Florida
Registered Investment Advisory firm - (4/20/2020 Terminated)New York
Registered Investment Advisory firm - (3/1/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WO
WILLIAM O'NEIL + COMPANY
WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY
CRD#: 152620 / SEC#: 801-120403
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)California
Registered Investment Advisory firm - (5/4/2021 Terminated)Connecticut
Registered Investment Advisory firm - (4/21/2020 Terminated)Florida
Registered Investment Advisory firm - (4/20/2020 Terminated)New York
Registered Investment Advisory firm - (3/1/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12655 Beatrice Street Suite 2a, Los Angeles, CA 90066
Mailing Address
Phone number
(310) 448-6800
Established
Firm type
Fiscal year end
# of Employees
41
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.
