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Detailed Report
YVONNE RENEE ONEILL
YVONNE ONEILL
CRD#: 3216749
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Investment Adviser
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Previous Broker
O'NEILL FINANCIAL MANAGEMENT, INC.CRD#: 283273 23201 LAKE CENTER DRIVE
SUITE 215
LAKE FOREST, CA 92630
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2016 (4 years)IAO'NEILL FINANCIAL MANAGEMENT, INC. (CRD# 283273)2016 - Present (8 years)BGENWORTH FINANCIAL SECURITIES ... (CRD# 10358)1999 - 2012 (12 years)BH.D. VEST INVESTMENT SECURITIE... (CRD# 13686)1999 - 1999 (<1 year)IAGENWORTH FINANCIAL ADVISERS CO... (CRD# 105644)2003 - 2012 (8 years)
License(s)

State Registrations

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California 4/29/2016
Current Registration(s)
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O'NEILL FINANCIAL MANAGEMENT, INC. (CRD#:283273)
23201 LAKE CENTER DRIVE SUITE 215, LAKE FOREST, CA 92630
Registered with this firm since 4/29/2016
Previous Registration(s)
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 02/06/2012 - 05/16/2016 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) LAKE FOREST, CA
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 02/03/2012 - 05/16/2016 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) LAKE FOREST, CA
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 06/26/2003 - 02/09/2012 GENWORTH FINANCIAL ADVISERS CORPORATION (CRD#:105644) MISSION VIEJO, CA
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 07/28/1999 - 02/09/2012 GENWORTH FINANCIAL SECURITIES CORPORATION (CRD#:10358) MISSION VIEJO, CA
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 07/22/1999 - 08/12/1999 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) DALLAS, TX
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.