RO
Rick O'neal
MADISON AVENUE SECURITIES
Olathe, KS
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CRD#: 5842609
RO
Professional summary
Rick O'neal, who also goes by Rick Lee O'neal, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Olathe, Kansas.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Rick has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Lee O'neal
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)NAME: ANNUITIES & MORE, LLC; INV RELATED: NO; ADDRESSOLATHE, KS 66061; NATURE: SALE OF FIXED, INDEX ANNUITIES, LTC, MEDICARE ADVANTAGE AND MEDICARE SUPPLEMENTS; POSITION: OWNER/AGENT; START DATE: 03/2016; HOURS/MONTH: 120; TRADING HOURS/MONTH: 120; DUTIES:AGENT 2)NAME: BETTER BUSINESS BUREAU OF GREATER KANSAS CITY; INV RELATED: NO; ADDRESS: 8080 WARD PKWY, SUITE 401, KANSAS CITY, MO 64114; NATURE: CREATES A COMMUNITY OF TRUSTWORTHY BUSINESSES AND CHARITIES; POSITION: PRESIDENT EMERITUS; START DATE: 02/2016; HOURS/MONTH: 4; TRADING HOURS/MONTH: 4; DUTIES: PRESIDENT EMERITUS CHANGE 11/2021. 3)NAME: ATTAIN ENTERPRISES, INC. DBA NELSON & COMPANY WEALTH MANAGEMENT; INV RELATED: YES; ADDRESS: OLATHE, KS 66061; NATURE: SALE OF FIXED, INDEX, LIFE & DISABILITY INSURANCE; POSITION: OWNER/AGENT; START DATE: 03/2013; HOURS/MONTH: 40; TRADING HOURS/MONTH: 40; DUTIES: OWNER/AGENT 4)NAME: R&S MOVING, LLC; INV RELATED: NO; ADDRESS: OLATHE, KS 66061; NATURE: HOLDING COMPANY FOR REAL ESTATE RENTALS; POSITION:OWNER; START DATE: 01/2012; HOURS/MONTH: 4; TRADING HOURS/MONTH: 0; DUTIES: OWNER 5)NAME:R&S O'NEAL, INC.; INV RELATED: NO; ADDRESS: OLATHE, KS 66061; NATURE: HOLDING COMPANY FOR REAL ESTATE RENTALS; POSITION: CO-OWNER; START DATE: 01/1990; HOURS/MONTH: 4; TRADING HOURS/MONTH: 0; DUTIES:OWNER 6)NAME: WE DEVELOPE CREDIT UNION; INV RELATED: NO; ADDRESS: 5737 SWOPE PKWY, KANSAS CITY, MO 64130; NATURE: START-UP CREDIT UNION-IT WILL PROVIDE BANKING SERVICES TO THE URBAN CORE OR GREATER KANSAS CITY; POSITION: TREASURER; START DATE: 08/2018; HOURS/MONTH: 4; TRADING HOURS/MONTH: 0; DUTIES: TREASURER 7)NAME: WHITEGLOVE WORKSHOPS; INV RELATED: NO; ADDRESS: 3883 TELEGRAPH ROAD, SUITE 102 BLOOMFIELD HILLS, MI 48302; NATURE: EDUCATOR/PRESENTER FOR TAXES IN RETIREMENT OR SOCIAL SECURITY WORKSHOPS; POSITION:EDUCATOR/PRESENTER; START DATE: 10/2017; HOURS/MONTH: 8; TRADING HOURS/MONTH:0 ; DUTIES: EDUCATOR/PRESENTER OF TAXES IN RETIREMENT OR SOCIAL SECURITY WORKSHOPS 8)NAME:ASSOCIATION OF FINANCIAL EDUCATORS; INV RELATED:NO; ADDRESS: OLATHE, KS 66061; NATURE:PRESENT BASIC NON SECURITIES EDUCATION ON FINANCIAL STRATEGIES INVOLVING INSURANCE; POSITION: FINANCIAL CONSULTANT-EDUCATOR-PRESENTER; START DATE: 01/2019; HOURS/MONTH:4; TRADING HOURS/MONTH:0; DUTIES:PRESENT BASIC NON SECURITIES EDUCATION ON FINANCIAL STRATEGIES INVOLVING INSURANCE 9)NAME: ADVISORS EXCEL; INV RELATED:YES; ADDRESS:2950 SW McCLURE ROAD, TOPEKA, KS 66614; NATURE:INSURANCE PRODUCTS OFFERED THROUGH AE, CREATIVE SERVICES PROVIDED BY AE; POSITION:INSURANCE AGENT; START DATE:05/12/2013 ; HOURS/MONTH:40; TRADING HOURS/MONTH:40; DUTIES:INSURANCE SALES 10.) NAME: JJT O'NEAL LIVING TRUST ; INV RELATED: NO ; NATURE: TRUSTEE FOR FAMILY TRUST; POSITION: TRUSTEE ; START DATE: 2/2021 ; HOURS/MONTH: LESS THAN ONE; TRADING HOURS/MONTH: 0; DUTIES: TRUSTEE FOR FAMILY TRUST. 11). NAME: JOTS, LLC INV RELATED: NO ; NATURE: JAMAICAN TRANSPORTATION SERVICE. START DATE: 10/2021 ; HOURS/MONTH: LESS THAN ONE; TRADING HOURS/MONTH: 0; DUTIES: PARTNER OVERSEE OPERATIONS. 12). NAME: INTERNATIONAL CARE & SUPPORT SERVICES: INV RELATED: NO ; NATURE: JAMAICAN LONG TERM CARE FACILITY, NURSING HOME. START DATE: 7/2021 ; HOURS/MONTH: LESS THAN ONE; TRADING HOURS/MONTH: 0; DUTIES: PARTNER OVERSEE OPERATIONS. 13). NOTARY; 14.) NAME: THE WHOLE PERSON; ADDRESS: 3710 MAIN ST, KANSAS CITY, MO 64111; INVESTMENT RELATED: NO; POSITION: BOARD CHAIR (TEMPORARY); DUTIES: KEEP THE ORGANIZATION ON TRACK TOWARD FULFILLING ITS MISSION. HOURS PER WEEK: 2-4 HOURS; START DATE: 04/01/2024. 15.) NAME: CEDAR CREEK HOA; INVESTMENT RELATED: NO; POSITION: PRESIDENT; DUTIES:OVERSEES THE HOA COMMUNITY. HOURS PER WEEK: 2-4 HOURS; START DATE: 10/01/2024.
CRS (Client Relationship Summary) - RIA
Click below to view Rick O'neal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rick O'neal'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
June 28, 2019 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Olathe, KS
Current
June 28, 2019 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Olathe, KS
Past
July 28, 2016 - June 28, 2019
CREATIVEONE SECURITIES, LLC
RIA
CRD#: 152974
Olathe, KS
Past
July 28, 2016 - June 28, 2019
CREATIVEONE SECURITIES, LLC
BD
CRD#: 152974
Olathe, KS
Past
February 23, 2016 - August 11, 2016
OSAIC FS, INC.
RIA
CRD#: 3870
OLATHE, KS
Past
September 2, 2015 - August 11, 2016
OSAIC FS, INC.
BD
CRD#: 3870
OLATHE, KS
Past
February 28, 2011 - September 30, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
OLATHE, KS
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
Arizona(7/2/2019)
RR
California(7/2/2019)
RR
Florida(7/2/2019)
RR
Kansas(6/28/2019)
IAR
Kansas(6/28/2019)
RR
Missouri(6/28/2019)
RR
New York(5/19/2020)
RR
Oklahoma(7/2/2019)
RR
Pennsylvania(1/7/2020)
RR
Texas(6/28/2019)
IAR
Texas(12/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
