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James Oneil

Gwn Securities INC.
17 Years of Experience
Lake Worth, FL
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Oneil is a registered investment advisor at Gwn Securities INC., based in Lake Worth, FL, with 17 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 37,793 clients with $4.8B in assets under management.

Gwn Securities INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
505 advisors
Number of Clients
37,793 clients
Average Client Portfolio
$126K average
Assets Under Management
$4.8B

Fee Structure

Minimum Investment:$2K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1M+0.50%

Schedule represents the standard GWN Managed Account Program. Other programs such as Premier, Total Access, and FMAX have separate fee schedules or negotiable rates up to 2.00%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8461 Lake Worth Road, Suite 433, Lake Worth, FL, 33467

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2015
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is the CEO of Financial Services, providing securities sales, tax preparation, and accounting services, dedicating about a quarter of his time to these activities. He also holds Florida Health, Life, and Variable Annuity Insurance licenses, but is currently not appointed with any insurance company and spends minimal time on insurance-related activities. James is also a board member of the Wellington Rotary Club, spending a few hours per week.

Employment History
Current Registrations
Gwn Securities INC.
March 2019 - Present · 7 yrs 7 mos
Gwn Securities INC.
February 2019 - Present · 7 yrs 8 mos
Gwn Securities INC.Broker
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
H.D. Vest Advisory Services, INC
September 2016 - March 2019 · 2 yrs 6 mos
Hd Vest Investment ServicesBroker
July 2016 - March 2019 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2011 - January 2016 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2011 - January 2016 · 4 yrs 2 mos
H.D. Vest Advisory Services, INC
January 2009 - November 2011 · 2 yrs 10 mos
H.D. Vest Investment ServicesBroker
October 2008 - November 2011 · 3 yrs 1 mo
State Registrations2 states
FLNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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