Owen E. O'neil

ROSENBLATT SECURITIES

New York, NY 10005

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CRD#: 2583878

Professional summary

Owen Elbery O'neil, who also goes by Owen Elbery Oneil, Owen Oneil, is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

Owen is registered as a RR (Registered Representative) and started their career in finance in 1995. Owen has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Owen Elbery Oneil | Owen Oneil

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Owen Elbery O'neil's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 9, 2021 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall Street 59th Floor, New York, NY 10005

CRD#: 18377

New York, NY

Past

January 9, 2020 - December 1, 2021

MAXIM GROUP LLC

CRD#: 120708

HINGHAM, MA

Past

October 15, 2015 - May 31, 2019

D.A. DAVIDSON & CO.

CRD#: 199

BOSTON, MA

Past

May 23, 2013 - October 15, 2015

BREAN CAPITAL, LLC

CRD#: 23723

BOSTON, MA

Past

March 17, 2010 - May 21, 2013

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

BOSTON, MA

Past

November 18, 2004 - February 3, 2010

PACIFIC CREST SECURITIES LLC

CRD#: 6619

BOSTON, MA

Past

January 12, 2004 - November 10, 2004

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

March 22, 1995 - January 12, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/9/2021)

Massachusetts
(11/9/2021)

Minnesota
(12/10/2024)

New York
(11/9/2021)

Exams

State Security Law Exam

Series 63

Date: 4/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2001

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.

CRD#: 18377 / SEC#: , 8-24255

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 59th Floor, New York, NY 10005

Mailing Address

40 Wall Street 59th Floor, New York, NY 10005

Phone number

(212) 607-3100

Established

New York since 08/29/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GAWRONSKI, JOSEPH CHARLES JR	PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR	2946954
ROSENBLATT, RICHARD ALLAN	CHAIRMAN RETIRED	1557345
FRAIN, JOURDAN BLAKE	COO	5745300
RONEY, CHARLES PATRICK	CHIEF COMPLIANCE OFFICER	1978773

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Owen E. O'neil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Owen Elbery O'neil's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXIM GROUP LLC

D.A. DAVIDSON & CO.

BREAN CAPITAL, LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

PACIFIC CREST SECURITIES LLC

UBS CAPITAL MARKETS L.P.

SOUNDVIEW TECHNOLOGY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1995

Series 24

Date: 2/14/2001

FINRA

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROSENBLATT SECURITIES INC.

TRUST BUT VERIFY

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