Brian O'neill

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CRD#: 5825060

Professional summary

Brian O'neill was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian O'neill was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2010. Brian had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

August 22, 2018 - August 3, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

FREDERICKSBURG, VA

Past

July 2, 2018 - August 20, 2018

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

July 7, 2017 - May 17, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Henrico, VA

Past

July 7, 2017 - May 17, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

HENRICO, VA

Past

January 10, 2014 - July 13, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROANOKE, VA

Past

January 10, 2014 - July 13, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROANOKE, VA

Past

September 14, 2010 - January 13, 2014

EDWARD JONES

RIA

CRD#: 250

LOCUST GROVE, VA

Past

August 27, 2010 - January 13, 2014

EDWARD JONES

CRD#: 250

LOCUST GROVE, VA

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2010

General Securities Representative Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,065

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)

CANADA PRIVATE CLIENT (2/5/2025)

UNITED KINGDOM PRIVATE CLIENT (2/5/2025)

INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts	360,116
AUM (Assets Under Management)	$ 298,729,428,900

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.

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Advisor Monitoring

Firm Stability Insights

Brian O'neill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PROFUNDS DISTRIBUTORS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2010

SIE

Date: 8/20/2018

Series 7

Date: 8/26/2010

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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