TM
Thomas P. Mcneill
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CRD#: 5071614
TM
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.
Thomas Patrick Mcneill, who also goes by Thomas P Mcneill, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas P Mcneill
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) 4LIFE WEALTH ADVISORS, DBA FOR CETERA BUSINESS
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 21, 2022 - August 6, 2025
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Colorado Springs, CO
Past
December 20, 2022 - August 6, 2025
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Colorado Springs, CO
Past
March 3, 2017 - October 3, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW BRAUNFELS, TX
Past
March 3, 2017 - October 3, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
NEW BRAUNFELS, TX
Past
December 5, 2016 - March 2, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
NEW BRAUNFELS, TX
Past
December 5, 2016 - March 2, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NEW BRAUNFELS, TX
Past
March 28, 2014 - December 2, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LUBBOCK, TX
Past
March 28, 2014 - December 2, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
Lubbock, TX
Past
September 13, 2012 - April 3, 2014
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
July 14, 2008 - June 5, 2012
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
VICTORIA, TX
Past
July 14, 2008 - June 5, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
VICTORIA, TX
Past
May 31, 2008 - June 11, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
VICTORIA, TX
Past
November 28, 2007 - June 18, 2008
CAPITAL ONE INVESTMENTS, LLC
RIA
CRD#: 17526
VICTORIA, TX
Past
November 28, 2007 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
VICTORIA, TX
Past
May 23, 2007 - September 6, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN ANTONIO, TX
Past
April 2, 2007 - September 6, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN ANTONIO, TX
Past
March 8, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SAN ANTONIO, TX
Past
October 4, 2006 - February 28, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN ANTONIO, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
