Thomas A. Oneill
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.
Thomas A Oneill, who also goes by Thomas Aquinas Oneill, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 14, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2016 - January 3, 2018
OXFORD CAPITAL, LLC
February 24, 2016 - February 21, 2017
RP CAPITAL LLC
April 23, 2015 - January 26, 2016
MYD MARKET, INC
May 13, 2013 - July 5, 2018
CABOT LANE LLC
March 11, 2010 - August 16, 2011
INSTINET, LLC
November 13, 2007 - April 20, 2010
TORC INVESTMENTS AND RESEARCH LLC
February 21, 2006 - February 28, 2007
IDB CAPITAL CORP.
June 17, 2004 - March 2, 2006
EKN FINANCIAL SERVICES INC.
January 14, 2004 - April 15, 2004
MARWOOD GROUP
November 26, 2003 - January 7, 2004
EKN FINANCIAL SERVICES INC.
November 5, 2001 - February 28, 2003
W.A. CAPITAL MARKETS
June 12, 2000 - April 11, 2001
GRUNTAL & CO., L.L.C.
July 1, 1998 - August 27, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 3, 1997 - June 7, 2000
IFMG SECURITIES, INC.
August 28, 1996 - December 11, 1996
NATIONAL CLEARING CORP.
July 18, 1996 - September 13, 1996
GLEACHER & COMPANY SECURITIES, INC.
December 5, 1994 - July 18, 1996
NORTHEAST BROKERAGE SERVICES CORPORATION
February 16, 1993 - December 21, 1994
H.J. MEYERS & CO., 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
OXFORD CAPITAL, LLC
CRD#: 166637 / SEC#: , 8-69223
Contact information
Documents
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.
