Dennis R. O Neill
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.
Dennis R O Neill, who also goes by Dennis R Oneill, Dennis Raymond Oneill, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2001. Dennis had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2011 - November 16, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 25, 2011 - November 16, 2019
TD AMERITRADE, INC.
April 19, 2011 - November 16, 2019
TD AMERITRADE, INC.
September 30, 2009 - February 19, 2010
CAPE SECURITIES INC.
June 14, 2001 - October 12, 2007
J.P. TURNER & COMPANY, L.L.C.
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
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
