Sean M. Oneil
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.
Sean Michael Oneil, who also goes by Sean Oneil, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1996. Sean had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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
November 18, 2014 - March 23, 2021
AST INVESTMENT SERVICES, INC.
November 18, 2014 - January 24, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 21, 2006 - November 17, 2014
PEOPLE'S SECURITIES, INC.
March 3, 2006 - November 17, 2014
PEOPLE'S SECURITIES, INC.
February 6, 1996 - February 23, 2006
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
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.
