KO
Kylee A. O'neil
ADVISORS ASSET MANAGEMENT
Charlotte, NC 28277
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CRD#: 7020931
KO
Professional summary
Kylee Arin O'neil, who also goes by Kylee Arin Oneil, Kylee Oneil, Kylee A Parsons, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Charlotte, North Carolina.
Kylee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Kylee has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kylee Arin Oneil | Kylee Oneil | Kylee A Parsons
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.
Business Name: True Alpha Wealth Management Inv Rel: Yes Address: 5004 Timber Commons Drive Sandusky OH 44870 NOB: Registered Field Assistant POS: Relationship manager Start Date: 6/30/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) DESC: Relationship management, financial planning, business development Business Name: MONROE STEELE FINANCIAL LLC POS: Owner NOB: Tax/Accounting/CPA INV REL: No NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 800 FERNWOOD ST, DELTA OH 43515 DESC: bookkeeping services business consultation
CRS (Client Relationship Summary) - RIA
Click below to view Kylee Arin O'neil's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kylee Arin O'neil'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
April 2, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 14045 Ballantyne Corporate Pl Suite 375, Charlotte, NC 28277RIA
BD
CRD#: 46727
Charlotte, NC
Current
April 2, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 14045 Ballantyne Corporate Pl Suite 375, Charlotte, NC 28277RIA
BD
CRD#: 46727
Charlotte, NC
Past
June 30, 2020 - March 27, 2024
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
Toledo, OH
Past
June 30, 2020 - March 27, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SANDUSKY, OH
Past
July 11, 2019 - July 9, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SYLVANIA, OH
Past
July 11, 2019 - July 9, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SYLVANIA, OH
Past
January 28, 2019 - July 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PERRYSBURG, OH
Past
December 13, 2018 - July 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PERRYSBURG, OH
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
North Carolina(4/2/2024)
IAR
North Carolina(4/8/2024)
RR
South Carolina(4/29/2025)
IAR
South Carolina(4/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/13/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| 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.
