Duane E. O'neal
Professional summary
Duane Edward O'neal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Duane is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Duane had worked at 9 firms, which includes DUEY, CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, EDWARD JONES, CETERA INVESTMENT SERVICES LLC, HATTIER SANFORD & REYNOIR A LIMITED PARTNERSHIP L.L.P., CAPITAL BROKERAGE CORPORATION, TRANSAMERICA FINANCIAL ADVISORS LLC, U.S. BANCORP INVESTMENTS INC..
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2008 - December 31, 2008
DUEY
July 6, 2005 - January 8, 2008
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 8, 2008
CHASE INVESTMENT SERVICES CORP.
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 16, 2002 - September 11, 2003
EDWARD JONES
June 15, 2000 - October 21, 2002
CETERA INVESTMENT SERVICES LLC
November 10, 1998 - June 15, 2000
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
October 16, 1996 - November 2, 1998
BANC ONE SECURITIES CORPORATION
September 13, 1996 - October 16, 1996
CAPITAL BROKERAGE CORPORATION
January 2, 1996 - September 30, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 22, 1995 - August 30, 1995
U.S. BANCORP INVESTMENTS, INC.
July 23, 1993 - January 23, 1995
EDWARD JONES
State Registrations and Notice Filings
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Current firm
No current employment
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