Michael H. Oneal
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.
Michael Henry Oneal, who also goes by Mike Oneal, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 15 firms and has passed the Series 63, SIE, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2009 - March 22, 2017
FMSBONDS, INC.
December 10, 2008 - April 2, 2009
HILLTOP SECURITIES INC.
August 16, 2006 - January 21, 2009
M.L. STERN & CO., LLC.
March 10, 2005 - August 10, 2006
BELLE HAVEN INVESTMENTS, L.P.
June 2, 2003 - February 28, 2005
ADVISORS ASSET MANAGEMENT, INC.
November 6, 1998 - June 5, 2003
GLEACHER & COMPANY SECURITIES, INC.
June 14, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
May 25, 1993 - June 11, 1997
KINSELL, NEWCOMB & DE DIOS, INC
January 2, 1991 - January 4, 1993
CROWELL, WEEDON & CO.
April 17, 1990 - November 24, 1990
SECURITIES RESOLUTION CORPORATION
June 19, 1980 - March 6, 1990
CROWELL, WEEDON & CO.
November 20, 1978 - January 5, 1982
THE SOUTHERN CALIFORNIA CORPORATION
July 15, 1977 - November 27, 1978
ELDREDGE & CO. INCORPORATED OF CALIFORIA
April 26, 1972 - January 13, 1974
BACHE & CO., INCORPORATED
August 24, 1971 - April 20, 1972
DUPONT WALSTON, INCORPORATED
April 1, 1971 - August 29, 1971
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
Series 000
Date: 3/22/1971
General Securities Principal ExaminationSeries 1
Date: 3/22/1971
Registered Representative ExaminationSeries 40
Date: 10/21/1978
Registered Principal ExaminationCurrent Firm
FMSBONDS, INC.
CRD#: 7793 / SEC#: , 8-23280
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
