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Detailed Report
William James O'Neil
Bill O'Neil, William J O'Neil, WILLIAM JAMES ONEIL JR, William James ONeil, William ONeil
CRD#: 2564064
IA
Investment Adviser
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Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 One International Place
Boston, MA 02110
CHARLES SCHWAB & CO., INC.CRD#: 5393 One International Place
Boston, MA 02110-2600
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2016 (5 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BTD AMERITRADE, INC. (CRD# 7870)1995 - 2011 (15 years)IAAMERIVEST INVESTMENT MANAGEMEN... (CRD# 111514)2006 - 2011 (4 years)IATD AMERITRADE, INC. (CRD# 7870)2003 - 2011 (7 years)
License(s)

State Registrations

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Alabama 2/8/2024
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Montana 2/8/2024
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Alaska 2/8/2024
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Nebraska 2/8/2024
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Arizona 2/8/2024
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Nevada 2/8/2024
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Arkansas 2/8/2024
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New Hampshire 8/15/2022
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California 8/15/2022
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New Jersey 2/8/2024
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Colorado 2/8/2024
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New Mexico 2/8/2024
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Connecticut 1/3/2023
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New York 8/15/2022
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Delaware 2/8/2024
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North Carolina 2/8/2024
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District of Columbia 2/8/2024
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North Dakota 2/8/2024
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Florida 2/8/2024
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Ohio 2/8/2024
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Georgia 2/8/2024
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Oklahoma 2/8/2024
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Hawaii 2/8/2024
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Oregon 2/8/2024
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Idaho 2/8/2024
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Pennsylvania 2/8/2024
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Illinois 2/8/2024
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Puerto Rico 2/8/2024
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Indiana 2/8/2024
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Rhode Island 8/15/2022
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Iowa 2/8/2024
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South Carolina 2/8/2024
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Kansas 2/8/2024
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South Dakota 2/8/2024
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Kentucky 2/8/2024
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Tennessee 2/8/2024
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Louisiana 2/8/2024
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Texas 2/8/2024
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Maine 8/15/2022
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Utah 2/8/2024
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Maryland 2/8/2024
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Vermont 8/15/2022
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Massachusetts 8/15/2022
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Virgin Islands 2/8/2024
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Massachusetts 11/10/2022
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Virginia 2/8/2024
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Michigan 2/8/2024
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Washington 2/8/2024
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Minnesota 2/8/2024
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West Virginia 2/8/2024
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Mississippi 2/8/2024
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Wisconsin 2/8/2024
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Missouri 2/8/2024
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Wyoming 2/8/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
One International Place, Boston, MA 02110
Registered with this firm since 11/10/2022
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CHARLES SCHWAB & CO., INC. (CRD#:5393)
One International Place, Boston, MA 02110-2600
Registered with this firm since 8/15/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
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 10/10/2018 - 06/16/2022 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) Stoughton, MA
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 10/01/2018 - 06/16/2022 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) BRAINTREE, MA
IA
 01/11/2017 - 04/30/2018 SANTANDER SECURITIES (CRD#:41791) Framingham, MA
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 01/05/2017 - 04/30/2018 SANTANDER SECURITIES LLC (CRD#:41791) Framingham, MA
IA
 03/25/2011 - 07/29/2016 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) NEEDHAM, MA
B
 03/24/2011 - 07/29/2016 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) NEEDHAM, MA
IA
 04/25/2006 - 03/03/2011 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) BOSTON, MA
IA
 09/10/2003 - 03/03/2011 TD AMERITRADE, INC. (CRD#:7870) BOSTON, MA
B
 11/16/1995 - 03/03/2011 TD AMERITRADE, INC. (CRD#:7870) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.