James R. 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.
James Robert Oneill, who also goes by James Robert Oneill Jr., James Robert Oneill, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2023 - October 31, 2025
JONESTRADING
October 4, 2022 - August 4, 2023
D. BORAL CAPITAL
April 6, 2017 - September 30, 2022
OPPENHEIMER & CO. INC.
July 12, 2012 - April 3, 2017
ROTH CAPITAL PARTNERS, LLC
April 15, 2011 - May 27, 2011
HUDSON SECURITIES,INC.
July 15, 2010 - April 13, 2012
RODMAN & RENSHAW, LLC
July 13, 2009 - June 17, 2010
CANTOR FITZGERALD & CO.
February 2, 2007 - May 29, 2009
COWEN SECURITIES LLC
June 28, 2006 - January 26, 2007
HAGGERTY & CO., LLC
August 29, 2005 - June 26, 2006
HAGGERTY & CO., LLC
June 6, 2003 - August 9, 2004
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
November 18, 2002 - February 25, 2003
GALWAY SECURITIES CORPORATION
December 28, 2000 - August 5, 2002
ARMATO SECURITIES CORP.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/23/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 6/6/2002
NYSE Trading Assistant ExaminationCurrent Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
