Theodore R. 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.
Theodore Rudd Oneill was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1996. Theodore had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2014 - March 8, 2024
ASCENDIANT CAPITAL MARKETS, LLC
January 13, 2010 - August 2, 2012
B. RILEY WEALTH MANAGEMENT
June 4, 2008 - January 14, 2010
KAUFMAN BROS., L.P.
August 30, 2006 - June 11, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
June 23, 2004 - August 19, 2005
WELLS FARGO SECURITIES, LLC
October 3, 2002 - June 18, 2004
A. G. EDWARDS & SONS, INC.
April 11, 2001 - September 20, 2002
CANACCORD GENUITY SECURITIES LLC
February 3, 1998 - March 26, 2001
NEEDHAM & COMPANY, LLC
August 27, 1996 - April 9, 1997
H.C.WAINWRIGHT & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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