Peter M. 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.
Peter Michael Oneill was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1971. Peter had worked at 9 firms and has passed the Series 63, 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 10, 2003 - January 9, 2006
LAIDLAW & COMPANY (UK) LTD.
November 24, 1998 - March 21, 2003
KSH INVESTMENT GROUP, INC.
February 5, 1997 - October 31, 1997
SHAMUS GROUP, INC.
July 31, 1993 - January 27, 1995
CITIGROUP GLOBAL MARKETS INC.
May 2, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
November 25, 1983 - April 4, 1986
UBS FINANCIAL SERVICES INC.
June 3, 1982 - March 29, 1985
HSBC BROKERAGE (USA) INC.
March 18, 1976 - May 3, 1983
O'NEILL & FELDMAN, INC.
November 26, 1971 - July 28, 1972
UMIC, INC.
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 1
Date: 11/22/1971
Registered Representative ExaminationSeries 40
Date: 3/4/1976
Registered Principal ExaminationCurrent Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
