Thomas F. 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.
Thomas Francis Oneill, who also goes by Thomas Francis O'neill, Thomas F Oneill, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 11 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 79TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2020 - June 5, 2024
ROBERTS & RYAN, INC.
March 15, 2019 - July 21, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 6, 2017 - March 15, 2019
FIRST EMPIRE SECURITIES, INC.
March 1, 2017 - November 2, 2017
INSPEREX LLC
February 14, 2013 - February 13, 2017
KIMBERLITE ADVISORS, LLC
March 7, 2012 - September 18, 2013
SITUS CAPITAL MANAGEMENT LLC
July 29, 2011 - March 16, 2012
FIRST ALLIED SECURITIES, INC.
November 23, 1988 - December 20, 2010
SANDLER, O'NEILL & PARTNERS, L.P.
August 17, 1988 - December 12, 1988
UNDERHILL ASSOCIATES, INCORPORATED
August 23, 1985 - August 26, 1988
J.P. MORGAN SECURITIES LLC
February 21, 1973 - September 5, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 2/15/1973
Registered Representative ExaminationCurrent Firm
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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