Gerald R. Oneil
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.
Gerald Raymond Oneil was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1992. Gerald had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - October 8, 2019
DAVID LERNER ASSOCIATES, INC.
August 22, 2011 - May 26, 2015
LPL FINANCIAL LLC
August 14, 2008 - May 26, 2015
LPL FINANCIAL LLC
May 15, 2007 - August 5, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 4, 2006 - April 23, 2007
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - April 23, 2007
CHASE INVESTMENT SERVICES CORP.
December 6, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
September 1, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
July 15, 2005 - August 23, 2005
BNY INVESTMENT CENTER INC.
October 20, 2004 - July 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - July 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
August 7, 2000 - October 20, 2004
QUICK & REILLY, INC.
January 22, 1997 - November 14, 2000
FIS SECURITIES, INC.
December 3, 1996 - August 7, 2000
FLEET ENTERPRISES, INC.
March 31, 1995 - December 10, 1996
GUARDIAN INVESTOR SERVICES LLC
February 12, 1992 - March 13, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 1992 - March 13, 1995
MSI FINANCIAL SERVICES, 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
