Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colin? Claim Your ProfileColin James O'Neil is a financial advisor with Smbc Nikko Securities America, Inc., based in New York, NY. Colin has been in the securities industry since 2006. Colin has a strong track record of success in providing financial advice and investment management services to individuals and families. Colin holds Series 7, 63, 24, SIE and 79TO licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
07/10/2015 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
09/03/2013 - 05/29/2015
CANACCORD GENUITY INC. (NEW YORK NY)
NY
08/06/2012 - 08/13/2013
FINSEC, LLC (NEW YORK NY)
MA
03/27/2012 - 07/11/2012
RAYMOND JAMES & ASSOCIATES, INC. (BOSTON MA)
NY
10/10/2008 - 04/12/2012
PETER J. SOLOMON SECURITIES COMPANY, LLC (NEW YORK NY)
MA
09/02/2005 - 08/08/2008
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
BC
Issued 12/05/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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