David R. Oneill

CETERA INVESTMENT ADVISERS LLC

FRISCO, TX 75034

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CRD#: 1591849

Professional summary

David Robert Oneill, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Frisco, Texas and CETERA FINANCIAL SPECIALISTS LLC located in Frisco, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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)O'NEILL FINANCIAL GROUP; RICHARDSON, TX; INVESTMENT RELATED; FINANCIAL AND TAX SERVICES; SINCE 09/2011; OWNER; 40 HRS/MO 2)NEWGEN PROPERTIES; RICHARDSON, TX; NON-INVESTMENT RELATED; REAL ESTATE AGENT IN TX; SINCE 11/2015; 16 HRS/MO 3)TEXAS UNION MORTGAGE; RICHARDSON, TX; NON-INVESTMENT RELATED; REGISTERED MORTGAGE LOAN ORIGINATOR; SINCE 09/2013; 16 HOURS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Oneill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

February 25, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5850 Town & Country Blvd Ste 1002, Frisco, TX 75034

RIA

CRD#: 105644

FRISCO, TX

Current

February 25, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 5850 Town & Country Blvd Ste 1002, Frisco, TX 75034

CRD#: 10358

FRISCO, TX

Past

January 4, 2012 - February 26, 2021

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

RICHARDSON, TX

Past

December 2, 2011 - February 26, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

FRISCO, TX

Past

September 29, 2010 - November 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DALLAS, TX

Past

September 29, 2010 - November 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, TX

Past

February 13, 1996 - September 29, 2010

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

IRVING , TX

Past

March 24, 1987 - September 29, 2010

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

IRVING, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(2/25/2021)

Maine
(11/7/2022)

Nebraska
(1/12/2023)

South Carolina
(2/25/2021)

Texas
(2/25/2021)

IAR

Texas
(2/25/2021)

Washington
(10/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/30/1987

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/20/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/12/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

David R. Oneill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Oneill's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/1994

Series 63

Date: 2/20/1987

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1987

Series 27

Date: 3/30/1987

Series 53

Date: 3/20/1987

Series 4

Date: 3/12/1987

Series 24

Date: 2/26/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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