Maura A. 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.
Maura Anne O'neill was a registered financial professional .
Maura is a previously registered financial professional and started their career in finance in 2004. Maura had worked at 4 firms and has passed the Series 63 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
August 19, 2011 - May 22, 2012
GRIDLEY & COMPANY LLC
October 29, 2009 - February 23, 2011
CITADEL SECURITIES LLC
July 9, 2007 - March 19, 2008
LEHMAN BROTHERS INC.
November 15, 2004 - June 25, 2007
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
GRIDLEY & COMPANY LLC
CRD#: 115706 / SEC#: , 8-53497
Contact information
Documents
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.
