JO
John A. Oneill
PRINCIPAL SECURITIES
Wayne, PA 19087
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CRD#: 2061375
JO
Professional summary
John Archibald Oneill, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wayne, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31 and Series 24 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Retirement Planning
Investment Planning
Insurance Planning
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.
JB NEW ENTERPRISES, LLC POSITION: JB New Enterprises, LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2022 ADDRESS: 1115 Judson Dr., West Chester PA 19380, United States DESCRIPTION: I am the owner of the LLC for JB New Enterprises LLC This is for rental properties that are rented and I receive the rental income OC LLC POSITION: OC LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2019 ADDRESS: 1115 Judson Dr, West Chester PA 19380, United States DESCRIPTION: OC LLC - I am partial owner of an LLC. We will occasionally use this to purchase real estate that we intend to refurbish and sell for a profit. INSURANCE POSITION: ONeill Consulting Corporation NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 25 START DATE: 08/01/2001 ADDRESS: 485 Devon Park Drive, Suite 102, Wayne PA 19087-1840, United States DESCRIPTION: Oneill Consulting Corp- Provides service for clients that I have an ongoing TPA relationship with.I am not taking on new TPA clients but do provide services for Unions by: Reviewing their benefit design Posting hours and contributions made Provide quarterly reporting to the Trustees of the fund along with Fund Professionals such as the fund auditor, legal counsel and anyone else designated by the trustees. Implement group health products for them If a benefit review is completed but no benefits are implemented, a fee is charged. The fee is always a flat fee no matter the work level. The fee is agreed upon and can only change by a request from me and then approved by a vote of the trustees. We also schedule the meetings, do the minutes for the meetings, organize plan documents i.e. get the amendments signed, send out the legal notifications COBRA, CHIP, Medicare D, enroll and delete the members from their chosen plans, maintain the records for 7 years and send out the other professional reports ** There are no comingling of TPA clients with other clients We provide Third Party Administration for Union Benefits. Consulting on their benefit designs posting hours and contributions. We also provide reporting quarterly to the Trustees of the fund along with Fund Professionals such as the fund auditor, legal counsel and one else designated by the trustees. We also place the insurance with for example Blue Cross.
CRS (Client Relationship Summary) - RIA
Click below to view John Archibald Oneill's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Archibald Oneill's 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®
Start date: 2003
Experience
Current
January 24, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 485 Devon Park Dr Ste 102, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Current
January 24, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 485 Devon Park Dr Ste 102, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Past
July 21, 2015 - February 2, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
WAYNE, PA
Past
July 21, 2015 - February 2, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
WAYNE, PA
Past
March 21, 2013 - July 28, 2015
OSAIC FS, INC.
RIA
CRD#: 3870
ABINGTON, PA
Past
March 21, 2013 - July 28, 2015
OSAIC FS, INC.
BD
CRD#: 3870
ABINGTON, PA
Past
May 4, 2009 - March 15, 2013
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CONSHOHOCKEN, PA
Past
June 13, 2008 - July 11, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ABINGTON, PA
Past
June 11, 2008 - July 11, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ABINGTON, PA
Past
June 28, 2006 - March 15, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CONSHOHOCKEN, PA
Past
October 5, 2004 - April 12, 2006
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
May 25, 2001 - July 27, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
February 7, 1994 - November 10, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 27, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
BD
CRD#: 14280
Past
June 21, 1990 - August 1, 1990
MLB INVESTMENTS, LTD.
BD
CRD#: 18280
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Delaware(1/24/2023)
RR
Maryland(1/24/2023)
RR
New Jersey(1/24/2023)
RR
Pennsylvania(1/24/2023)
IAR
Pennsylvania(1/24/2023)
RR
Virginia(2/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
