Thomas A. Oneil
Professional summary
Thomas Anthony Oneil, who also goes by Tom Anthony O'neil, Tommy Anthony O'neil, Thomas A Oneil, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Anthony Oneil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Anthony Oneil's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447October 24, 2002 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447January 9, 2002 - September 24, 2002
TRANSAMERICA CAPITAL, LLC
September 18, 2001 - December 21, 2001
COREBRIDGE CAPITAL SERVICES, INC.
January 13, 1999 - September 14, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
November 24, 1997 - March 17, 1998
SYMETRA SECURITIES, INC.
May 6, 1996 - December 3, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
September 15, 1993 - April 29, 1996
NATIXIS DISTRIBUTION, LLC
June 22, 1993 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/18/2014)
(8/7/2007)
(9/13/2007)
Exams
Series 7TO
Date: 11/24/2021
General Securities Representative ExaminationFINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
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