John E. Oneill
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.
John Edward Oneill III, who also goes by John Edward Oneill, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the Series 63, Series 5, Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2004 - April 12, 2005
DOMINION INVESTOR SERVICES, INC.
February 13, 2002 - November 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 24, 1996 - February 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 31, 1980 - June 6, 1996
UBS FINANCIAL SERVICES INC.
June 22, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 22, 1971 - November 18, 1972
JSC SECURITIES, INC.
December 7, 1970 - March 3, 1971
FINANCIAL SQUARE PARTNERS
August 25, 1970 - May 19, 1971
EDWARDS & HANLY
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 5
Date: 10/6/1981
Interest Rate Options ExaminationPC
Date: 6/1/1978
AMEX Put and Call ExamSeries 1
Date: 12/18/1961
Registered Representative ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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