Erik M. O'neill

NORTHCAPE WEALTH MANAGEMENT

Williamsville, NY 14221

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CRD#: 1771548

Professional summary

Erik M O'neill, CFP®, who also goes by Erik Mo O'neill, Erik Mo Oneill, is a registered financial advisor currently at NORTHCAPE WEALTH MANAGEMENT located in Williamsville, New York.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Erik has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Erik Mo O'neill | Erik Mo Oneill

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. ERIE & NIAGARA INSURANCE, INV RELATED, NATURE OF BUSINESS: MUTUAL INSURANCE CO., DIRECTOR, START 1999, TIME SPENT: 2 HRS. PER MONTH. 2. 2RIDGE LLC, INV RELATED, NATURE OF BUSINESS: PATENTS, INVESTOR, START 2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik M O'neill'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: 2002

Experience

Current

May 17, 2021 - Present

NORTHCAPE WEALTH MANAGEMENT

Office #1: 6565 Main Street, Williamsville, NY 14221

RIA

CRD#: 312350

Williamsville, NY

Past

January 25, 2008 - May 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILLIAMSVILLE, NY

Past

January 25, 2008 - May 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WILLIAMSVILLE, NY

Past

September 22, 2006 - January 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOCKPORT, NY

Past

March 8, 2006 - January 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LOCKPORT, NY

Past

July 17, 1995 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

January 26, 1988 - July 3, 1989

SALOMON BROTHERS INC.

CRD#: 740

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".

NORTHCAPE WEALTH MANAGEMENT

NORTH CAPE WEALTH MANAGEMENT | NORTHCAPE WEALTH MANAGEMENT, LLC | NORTHCAPE WEALTH MANAGEMENT

CRD#: 312350 / SEC#: 801-120425

RIA

Registered Investment Advisory firm - (3/4/2021 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.

Highlighted states indicate IAR registrations

IAR

New York
(5/17/2021)

IAR

Texas
(6/29/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/10/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/10/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/14/1995

General Securities Representative Examination

Current Firm

NORTHCAPE WEALTH MANAGEMENT

NORTH CAPE WEALTH MANAGEMENT | NORTHCAPE WEALTH MANAGEMENT, LLC | NORTHCAPE WEALTH MANAGEMENT

CRD#: 312350 / SEC#: 801-120425

RIA

Registered Investment Advisory firm - (3/4/2021 Approved)

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Contact information

Main Address

6565 Main Street, Williamsville, NY 14221

Mailing Address

Phone number

(71) 632-6565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHCAPE WEALTH MANAGEMENT FORM ADV PART 2A APPENDIX 1 WRAP BROCHURE (3/19/2025)

NORTHCAPE WEALTH MANAGEMENT FORM ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,405
AUM (Assets Under Management)	$ 614,524,913

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Erik M. O'neill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik M O'neill's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

NORTHCAPE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2008

Series 66

Date: 4/10/2007

Series 63

Date: 7/17/1995

SIE

Date: 10/1/2018

Series 3

Date: 8/10/1995

Series 7

Date: 7/14/1995

Current Firm

NORTHCAPE WEALTH MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHCAPE WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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