Peter J. 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.
Peter Joseph Oneal was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1965. Peter had worked at 8 firms and has passed the Series 63, PC, Series 41, 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
May 28, 1996 - July 3, 2001
CARDINAL INVESTMENTS, INC.
October 29, 1990 - June 7, 1994
FIRST GATEWAY SECURITIES INC.
February 7, 1990 - May 1, 1990
LCP CAPITAL CORP.
January 26, 1989 - December 11, 1989
NEWHARD, COOK & CO. INCORPORATED
November 18, 1988 - December 12, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
January 19, 1981 - February 1, 1988
I.M. SIMON & CO., INC.
January 19, 1979 - January 31, 1981
STIX & CO., INC.
July 9, 1975 - September 6, 1978
I.M. SIMON & CO., INC.
January 26, 1965 - July 20, 1975
NEWHARD, COOK & CO. 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
PC
Date: 11/22/1977
AMEX Put and Call ExamSeries 41
Date: 5/19/1977
NYSE Allied Member ExaminationSeries 000
Date: 6/9/1964
General Securities Principal ExaminationSeries 1
Date: 6/9/1964
Registered Representative ExaminationSeries 40
Date: 11/13/1976
Registered Principal ExaminationCurrent Firm
CARDINAL INVESTMENTS, INC.
CRD#: 36838 / SEC#: , 8-47493
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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