JO
James P. Oneil
GWN SECURITIES
Lake Worth, FL 33467
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CRD#: 5579881
JO
Professional summary
James Patrick Oneil, who also goes by James P O'neil, James O'neil, is a registered financial advisor currently at GWN SECURITIES INC. located in Lake Worth, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James P O'neil | James O'neil
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.
CEO Financial Services~'NIR'~8461 Lake Worth Road, #163~Lake Worth~FL~33467~Securities DBA used in conjunction with Investment Sales, Tax Preparation/Accounting~Other~1/1/2016~60hrs~30hrs~Accounting, bookkeeping and tax preparation| Florida Health, Life, Variable Annuity Insurance License, Currently not appointed with any insurance company, but business would be investment related. Once appointed I would be affiliated with the specific insurance company. AS of now, not being appointed I do not devote any hours. The Rotary Club of Wellington,Is Not Investment Related,,Civic/Social Organization,Board Member,2023-09-01,6 hours per month,0 hours per month during trading hours,No Compensation Compensation,General Board member of the Wellington Rotary Club
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Oneil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Oneil's CRS (Customer Relationship Summary).
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
Current
March 4, 2019 - Present
GWN SECURITIES INC.
Office #1: 8461 Lake Worth Road, Suite 433, Lake Worth, FL 33467RIA
BD
CRD#: 128929
Lake Worth, FL
Current
February 19, 2019 - Present
GWN SECURITIES INC.
Office #1: 8461 Lake Worth Road, Suite 433, Lake Worth, FL 33467RIA
BD
CRD#: 128929
Lake Worth, FL
Past
September 1, 2016 - March 1, 2019
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lake Worth, FL
Past
July 25, 2016 - March 1, 2019
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lake Worth, FL
Past
November 9, 2011 - January 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOYNTON BEACH, FL
Past
November 9, 2011 - January 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOYNTON BEACH, FL
Past
January 12, 2009 - November 10, 2011
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WELLINGTON, FL
Past
October 1, 2008 - November 10, 2011
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WELLINGTON, FL
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".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/4/2019)
IAR
Florida(3/4/2019)
RR
New York(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
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.
