O'neal Mccall
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.
O'neal Mccall, who also goes by Thomas O'neal Mccall Jr, Thomas O'neal Mccall Jr., Thomas Mccall, was a registered financial professional .
O'neal is a previously registered financial professional and started their career in finance in 2003. O'neal had worked at 5 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
March 4, 2013 - November 12, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 1, 2013 - November 12, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 10, 2010 - March 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2010 - March 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2008 - January 27, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 20, 2008 - January 27, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 15, 2007 - December 4, 2007
EDWARD JONES
November 25, 2003 - December 4, 2007
EDWARD JONES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
