AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
DO

Duane Edward O'neal

CRD# 2357535·Registered 1993 - 2008
Barred: Duane Edward O'neal was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Duane Edward O'neal, who also goes by D Edward Oneal, Duane Edward Oneal, Duey Oneal, was a registered financial advisor. Duane was a previously registered financial advisor and started their career in finance 1993 - 2008. Duane had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

D Edward Oneal, Duane Edward Oneal, Duey Oneal

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

33 years in the financial services industry

Current & Past Employments

DUEY·CRD# 146404
RIA
Indianapolis, IN
February 21, 2008 - December 31, 2008
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
RIA
Indianapolis, IN
July 6, 2005 - January 8, 2008
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Indianapolis, IN
July 6, 2005 - January 8, 2008
BANC ONE SECURITIES CORPORATION·CRD# 16999
RIA
Indianapolis, IN
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
September 22, 2003 - July 6, 2005
EDWARD JONES·CRD# 250
BD
St. Louis, MO
October 16, 2002 - September 11, 2003
CETERA INVESTMENT SERVICES LLC·CRD# 15340
BD
St. Cloud, MN
June 15, 2000 - October 21, 2002
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.·CRD# 2148
BD
Germantown, TN
November 10, 1998 - June 15, 2000
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
October 16, 1996 - November 2, 1998
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Glen Allen, VA
September 13, 1996 - October 16, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
Philadelphia, PA
January 2, 1996 - September 30, 1996
U.S. BANCORP INVESTMENTS, INC.·CRD# 17868
BD
Saint Paul, MN
February 22, 1995 - August 30, 1995
EDWARD JONES·CRD# 250
BD
St. Louis, MO
July 23, 1993 - January 23, 1995

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1993About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
DO
Follow Duane
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required