James Forrest O'neill
Professional Summary
James Forrest O'neill was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2013 - 2016. James had worked at 1 firm and has passed the Series 63, SIE and Series 82 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Current Firm
ADVISORS DISCOUNT SECURITIES, INC. | NORTH CENTRAL SECURITIES, INC. | EMERGENT FINANCIAL GROUP, INC. | EMERGENT FINANCIAL GROUP, INC | EMERGENT FINANCIAL GROUP , INC. | COCOON INVESTMENT MANAGEMENT
Contact Information
Main Address
3600 American Boulevard West Suite 670, Bloomington, MN 55431-4511Established
Minnesota since 12/05/1994Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VTMW CAPITAL MANAGEMENT, LTD. | 100% DIRECT OWNER | — |
| GOETSCH, MICHAEL RAY | PRESIDENT | 1807841 |
| JENKINS, CYNTHIA MADELYN | FINANCIAL AND OPERATIONS PRINCIPAL | 706510 |
| MCKELVEY, ROBERT KEVIN | CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD, CHIEF COMPLIANCE OFFICER | 328695 |
| VOLDNESS, PETER BRIAN | CHIEF EXECUTIVE OFFICER | 872727 |
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Jun 2013About the Series 82 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY