Kevin E. 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.
Kevin Edward O'neill was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 4 firms and has passed the Series 63, Series 7, Series 6, Series 4 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
November 20, 2007 - June 13, 2012
SUNGARD INSTITUTIONAL BROKERAGE INC.
December 3, 2004 - November 19, 2007
CHASE INVESTMENT SERVICES CORP.
September 16, 2004 - August 17, 2006
BANC ONE SECURITIES CORPORATION
January 2, 2003 - August 30, 2004
DWS DISTRIBUTORS, 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
Current Firm
SUNGARD INSTITUTIONAL BROKERAGE INC.
CRD#: 8509 / SEC#: , 8-25844
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUNGARD INVESTMENT VENTURES LLC. | SHAREHOLDER | |
| CARVER, JASON MATTHEW | CHIEF FINANCIAL OFFICER | 4681802 |
| DONNELLAN, ANDREW B JR. | DIRECTOR | 4903697 |
| MAYO, STEPHANIE ANN | SENIOR MANAGING DIRECTOR, BUSINESS OPERATIONS/DIRECTOR | 5048684 |
| MEADE, CHRISTOPHER HILARY | SR. MANAGING DIRECTOR COMPLIANCE & OPERATIONS/ CHIEF COMPLIANCE OFFICER | 2629159 |
| SANTELLA, ROBERT ANTHONY | CEO/ PRESIDENT/ DIRECTOR | 2385977 |
| VALLOW, RONALD ELLIS JR. | CONTROLLER/FINOP | 4948582 |
Disclosures
| Regulatory Event | 3 |
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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