William O'Neil & Co. Incorporated

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.

Senior staff personally approved by the FCA to hold their roles here.

Alexander Victor Masotti
IRN AXM76893
- SMF16 Compliance Oversight (since 30 Jun 2020)
Amir Ali Korvalian
IRN AAK01046
- CF30 Customer (1 Apr 2011 to 8 Jul 2011)
Davide C De Maria
IRN DCD01033
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (23 May 2019 to 8 Dec 2019)
Edward Lamper Levy
IRN ELL01014
- CF29 Significant management (1 Apr 2011 to 29 Sep 2015)
Ekaterina Nelyudova
IRN EXN01098
- CF30 Customer (1 Apr 2011 to 12 Mar 2014)
Eugene Masakazu Kumamoto
IRN EMK01041
- CF29 Significant management (30 Aug 2018 to 8 Dec 2019)
Farhan Mohamed Arif
IRN FMA01024
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (21 May 2014 to 8 Dec 2019)
Gregory Samuel Jannetta
IRN GSJ01040
- SMF19 Head of Overseas Branch/Head of Overseas (since 17 Feb 2022)
- SMF3 Executive Director (since 17 Feb 2022)
- CF29 Significant management (11 Nov 2015 to 8 Dec 2019)
Hagford Orlander Drake
IRN HOD01005
- CF29 Significant management (1 Apr 2011 to 17 Aug 2018)
John Wai Kwok Szeto
IRN JWS01089
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (6 Mar 2013 to 8 Dec 2019)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.