Regis B. O'neil
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.
Regis B O'neil, who also goes by Regis Bertram O'neil III, Regis O'neil, Regis B Oneil, Regis Bertram Oneil III, Regis Bertram Oneil, Regis Bertram Oneill, was a registered financial professional .
Regis is a previously registered financial professional and started their career in finance in 1992. Regis had worked at 7 firms and has passed the Series 66 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
October 5, 2011 - November 16, 2012
BGC FINANCIAL, L.P.
April 19, 2010 - September 30, 2011
BAY CREST PARTNERS, LLC
November 2, 2009 - April 27, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2009 - April 27, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2008 - November 19, 2009
UBS FINANCIAL SERVICES INC.
June 29, 2004 - November 7, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
December 7, 2001 - June 25, 2004
SEABOARD SECURITIES, INC.
January 10, 2000 - November 30, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
October 7, 1992 - August 28, 1999
INTERCAPITAL GOVERNMENT SECURITIES INC.
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
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
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