Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ormand? Claim Your ProfileOrmand Lee O'Neal is a financial advisor with over 15 years of experience in the financial services industry. Ormand is currently registered with Raymond James & Associates, Inc. and has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, UBS Financial Services Inc., and AXA Advisors, LLC. Ormand specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, and businesses. Ormand is dedicated to helping clients achieve their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
09/03/2024 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
04/15/2016 - 08/27/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
12/09/2009 - 04/29/2016
MORGAN STANLEY (HOUSTON TX)
TX
02/17/2009 - 12/10/2009
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
01/03/2008 - 10/22/2008
AXA ADVISORS, LLC (HOUSTON TX)
TX
06/21/2007 - 12/03/2007
METLIFE SECURITIES INC. (HOUSTON TX)
IA
Issued 08/03/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/27/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/31/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/19/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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