Yvonne R. Oneill

O'NEILL FINANCIAL MANAGEMENT

Lake Forest, CA 92630

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CRD#: 3216749

Professional summary

Yvonne Renee Oneill, who also goes by Yvonne Oneill, is a registered financial advisor currently at O'NEILL FINANCIAL MANAGEMENT, INC. located in Lake Forest, California.

Yvonne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Yvonne has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yvonne Oneill

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.

(1) 100% OWNER/EMPLOYEE OF "O'NEILL FINANCIAL MANAGEMENT" PROVIDING TAX, ACCOUNTING, FINANCIAL ADVISORY SERVICES, SALES OF FIXED AND VARIABLE ANNUITY INSURANCE PRODUCTS, AND USE OF THIRD PARTY MONEY MANAGERS SINCE NOVEMBER 1983. INVESTMENT RELATED. 100% TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) BOARD OF DIRECTORS FOR "THE WOODEN FLOOR" A NON-PROFIT ORGANIZATION SINCE JANUARY 2010 ON THE FINANCE & AUDIT COMMITTEE. NON-INVESTMENT RELATED. APPROXIMATELY LESS THAN 1%. BUSINESS CONDUCTED AT 1810 NORTH MAIN STREET SANTA ANA, CA 92706. (3) St. Kilian Catholic Church; not investment-related; 26872 Estanciero Drive, Mission Viejo, CA 92691; Council Member; January 2019; 1 hr per month; 0 hr per month during securities trading hours; Serve on council.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yvonne Renee Oneill's 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

April 29, 2016 - Present

O'NEILL FINANCIAL MANAGEMENT, INC.

Office #1: 23201 Lake Center Drive Suite 215, Lake Forest, CA 92630

RIA

CRD#: 283273

Lake Forest, CA

Past

February 6, 2012 - May 16, 2016

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LAKE FOREST, CA

Past

February 3, 2012 - May 16, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

LAKE FOREST, CA

Past

June 26, 2003 - February 9, 2012

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MISSION VIEJO, CA

Past

July 28, 1999 - February 9, 2012

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

MISSION VIEJO, CA

Past

July 22, 1999 - August 12, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/29/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/21/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

O'NEILL FINANCIAL MANAGEMENT, INC.

CRD#: 283273 / SEC#: 801-107696

RIA

Registered Investment Advisory firm - (9/15/2016 Terminated)

California

Registered Investment Advisory firm - (9/14/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

23201 Lake Center Drive Suite 215, Lake Forest, CA 92630

Mailing Address

Phone number

(949) 582-1577

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 76,168,863

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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Yvonne R. Oneill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yvonne Renee Oneill's CRS (Customer Relationship Summary).

Certified licenses

Experience

O'NEILL FINANCIAL MANAGEMENT, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2003

Series 63

Date: 6/21/1999

SIE

Date: 5/16/2016

Series 6

Date: 7/21/1999

Current Firm

O'NEILL FINANCIAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

O'NEILL FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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