Matthew J. O'neill
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.
Matthew John O'neill, who also goes by Matt O'neill, Mathew John Oneill, Matthew John Oneill, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1987. Matthew had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 55 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
January 30, 2013 - April 12, 2022
FIS BROKERAGE & SECURITIES SERVICES LLC
May 22, 2009 - December 31, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
May 25, 2005 - August 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 15, 1998 - August 28, 2003
ADVEST, INC.
June 26, 1996 - May 20, 1998
TRUIST SECURITIES, INC.
June 14, 1993 - April 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1991 - March 17, 1993
NASH, WEISS & CO.
June 14, 1990 - November 23, 1990
DEUTSCHE IXE, LLC
March 24, 1987 - November 20, 1989
UBS CAPITAL MARKETS L.P.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/21/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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