Thomas E. Oneil
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Edward Oneil, who also goes by Ted Oneil, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 9 firms and has passed the Series 63, Series 65, Series 55, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2008 - July 14, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
February 7, 2005 - July 11, 2005
CRESAP, INC.
January 29, 2001 - February 24, 2004
RYAN & COMPANY, LP
June 24, 1988 - November 15, 1990
TUCKER ANTHONY INCORPORATED
September 26, 1983 - July 16, 1988
UBS FINANCIAL SERVICES INC.
November 20, 1980 - October 20, 1983
BUTCHER & SINGER INC.
September 17, 1979 - May 29, 1980
LEHMAN BROTHERS INC.
March 29, 1979 - September 17, 1979
LOEB PARTNERS
July 25, 1978 - April 15, 1979
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/29/2008
Limited Representative-Equity Trader ExamSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
