Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip James Oneill is a financial advisor with Nasdaq Execution Services, LLC. Phillip has been in the industry since 2001 and has a wide range of experience in the securities industry. Phillip has passed several securities exams including the Series 7, Series 9, Series 10, Series 4, Series 55, and Series 57TO exams, along with the SIE and Series 63 exams. Phillip is registered in New York, and has previously worked at TD Ameritrade, Inc., Citigroup Global Markets Inc., and Nasdaq Options Services, LLC.
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.
1
2
PA
02/07/2007 - Present
Nasdaq Execution Services, LLC (PHILADELPHIA PA)
NY
05/17/2007 - 04/11/2014
NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)
NJ
01/02/2004 - 06/15/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
NY
10/17/2000 - 12/16/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 12/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2005
Series 4 - Registered Options Principal Examination
BC
Issued 06/30/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/16/2000
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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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