Elizabeth L. Oneil
Professional summary
Elizabeth Lummis Oneil, who also goes by Elizabeth Moore Lummis, Liz Lummis Oneil, is a registered financial professional currently at NYLIFE SECURITIES LLC located in San Ramon, California.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1998. Elizabeth has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Lummis Oneil's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2024 - Present
NYLIFE SECURITIES LLC
Office #1: Bishop Ranch 3 2633 Camino Ramon Suite 525, San Ramon, CA 94583June 25, 1999 - May 2, 2000
SUTRO & CO. INCORPORATED
April 27, 1999 - June 22, 1999
PROTECTED INVESTORS OF AMERICA
September 11, 1998 - April 9, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/29/2024)
Exams
Series 6TO
Date: 6/26/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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