DO
David J. O'neill
HERITAGE FINANCIAL LLC
GAINESVILLE, VA 20155
Some features on this profile are disabled
CRD#: 6885315
DO
Professional summary
David John O'neill, who also goes by Dave O'neill, David John Oneill, is a registered financial advisor currently at HERITAGE FINANCIAL LLC located in Gainesville, Virginia.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave O'neill | David John Oneill
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.
SLOPESIDE LLC not investment-related private residence in Gainesville, VA personal investment activities Sole Member 10/4/2018 minimal hours per month no hours during trading manage personal investments
CRS (Client Relationship Summary) - RIA
Click below to view David John O'neill'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
October 11, 2018 - Present
HERITAGE FINANCIAL LLC
Office #1: 7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155RIA
CRD#: 285149
GAINESVILLE, VA
Past
January 9, 2018 - August 31, 2018
SPIRE WEALTH MANAGEMENT, LLC
RIA
CRD#: 113908
McLean, VA
Past
January 9, 2018 - August 31, 2018
SPIRE SECURITIES, LLC
BD
CRD#: 144131
MCLEAN, 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".
HF
HERITAGE FINANCIAL LLC
HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC
CRD#: 285149 / SEC#: 801-114336
RIA
Registered Investment Advisory firm - (11/26/2018 Approved)District of Columbia
Registered Investment Advisory firm - (12/7/2018 Terminated)Florida
Registered Investment Advisory firm - (12/7/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/20/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/27/2018 Terminated)North Carolina
Registered Investment Advisory firm - (12/10/2018 Terminated)Texas
Registered Investment Advisory firm - (12/7/2018 Terminated)Virginia
Registered Investment Advisory firm - (12/12/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Virginia(10/11/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HF
HERITAGE FINANCIAL LLC
HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC
CRD#: 285149 / SEC#: 801-114336
RIA
Registered Investment Advisory firm - (11/26/2018 Approved)District of Columbia
Registered Investment Advisory firm - (12/7/2018 Terminated)Florida
Registered Investment Advisory firm - (12/7/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/20/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/27/2018 Terminated)North Carolina
Registered Investment Advisory firm - (12/10/2018 Terminated)Texas
Registered Investment Advisory firm - (12/7/2018 Terminated)Virginia
Registered Investment Advisory firm - (12/12/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155
Mailing Address
Phone number
(703) 754-1233
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,380 |
| AUM (Assets Under Management) | $ 334,741,601 |
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.
Company Information
HERITAGE FINANCIAL LLC
CRD#: 285149Gainesville, VA 20155TRUST BUT VERIFY
Monitor David O'neill
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
