Brandon J. 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.
Brandon Joseph O'neill, who also goes by Brandon J Oneil, Brandon Joseph Oneill, Brandon Oneill, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2007. Brandon had worked at 4 firms and has passed the Series 65, Series 63, Series 31 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
January 17, 2012 - April 9, 2013
FIDELITY DISTRIBUTORS COMPANY LLC
June 23, 2011 - December 23, 2011
STRATEGIC ADVISERS LLC
June 21, 2011 - December 22, 2011
FIDELITY BROKERAGE SERVICES LLC
February 22, 2010 - May 25, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
March 17, 2008 - February 2, 2010
STRATEGIC ADVISERS LLC
March 11, 2008 - January 29, 2010
FIDELITY BROKERAGE SERVICES LLC
October 9, 2007 - January 2, 2008
MORGAN STANLEY & CO. LLC
August 27, 2007 - January 2, 2008
MORGAN STANLEY & CO. LLC
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
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
