Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis O'Neill is an investment advisor representative. James has been in the industry since 1997 and is currently registered with THE Ayco Company, LP. James has been registered with the firm since 2001. James has passed multiple securities exams including the Series 3, Series 6, Series 7 and the Series 65 and holds active registrations in many states across the country. James specializes in providing financial planning services, educational seminars, and portfolio management for both individuals and businesses. James was previously registered with Mercer Allied Company, L.P. from 2000 to 2021, Fidelity Brokerage Services, Inc. and Fidelity Investments Institutional Services Company, Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
04/16/2001 - Present
THE Ayco Company, LP (Dallas TX)
TX
01/03/2000 - 01/04/2021
MERCER ALLIED COMPANY, L.P. (DALLAS TX)
RI
11/05/1997 - 03/31/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
11/01/1996 - 11/05/1997
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 12/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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