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FRANCIS J O'NEILL III
FRANCIS J. O'NEIL III, FRANCIS J O'NEILL III III, FRANCIS JAMES ONEILL III
CRD#: 3277622
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 2 POST OAK CENTRAL
1980 POST OAK BLVD, SUITE 1630 & 1525
HOUSTON, TX 77056-3859
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2011 (4 years)2 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - Present (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2005 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2002 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2005 (5 years)
Disclosure(s)
View By:
10/14/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/28/2014

B
Missouri 4/1/2022

B
Arizona 1/25/2023

B
Montana 12/2/2021

B
California 10/31/2022

B
Nevada 1/31/2023

B
Colorado 8/13/2015

B
New Hampshire 2/1/2024

B
Connecticut 1/13/2023

B
New York 9/29/2014

B
Delaware 6/8/2020

B
North Carolina 1/9/2018

B
District of Columbia 1/20/2023

B
Ohio 9/26/2014

B
Florida 1/12/2022

B
Oklahoma 6/16/2014

B
Idaho 2/1/2024

B
Oregon 1/18/2023

B
Illinois 1/25/2023

B
Pennsylvania 1/18/2023

B
Indiana 2/23/2022

B
South Carolina 9/11/2023

B
Kansas 1/18/2023

B
South Dakota 1/31/2024

B
Kentucky 1/31/2024

B
Tennessee 6/16/2014

B
Louisiana 5/28/2014

B
Texas 5/28/2014

B
Maine 1/18/2023

IA
Texas 5/28/2014

B
Maryland 1/19/2023

B
Utah 1/18/2023

B
Michigan 2/2/2024

B
Virginia 1/18/2023

B
Minnesota 12/2/2021

B
Washington 1/18/2023

B
Mississippi 4/24/2024

B
West Virginia 7/25/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
SUGAR LAND, TX
Registered with this firm since 5/28/2014

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
2 POST OAK CENTRAL 1980 POST OAK BLVD, SUITE 1630 & 1525, HOUSTON, TX 77056-3859
SUGAR LAND, TX
Registered with this firm since 5/28/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2011 - 05/30/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) MISSOURI CITY, TX
B
01/03/2011 - 05/30/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) MISSOURI CITY, TX
IA
05/10/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HOUSTON, TX
B
05/10/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HOUSTON, TX
IA
11/04/2005 - 05/11/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
11/04/2005 - 05/11/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
IA
02/04/2005 - 11/17/2005 LEGG MASON WOOD WALKER INC (CRD#:6555) HOUSTON, TX
B
02/04/2005 - 11/17/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
IA
10/19/1999 - 02/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
04/03/2002 - 02/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
09/21/1999 - 04/08/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.