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.

Manjima Mukherjee
IRN MXM02832
- CF30 Customer (12 Sep 2011 to 6 Aug 2012)
Marcus Jeremy Rupert Love
IRN MJL01269
- CF30 Customer (26 Apr 2011 to 31 Jan 2019)
Nicola Claire Mitford-Slade
IRN NCM01026
- CF11 Money Laundering Reporting (1 Apr 2011 to 6 Jan 2012)
Piotr Tymula
IRN PXT01265
- 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 7 Dec 2022)
Robert Lyons
IRN RXL01696
- CF29 Significant management (11 Nov 2015 to 8 Mar 2017)
Ruhell Amin
IRN RXA02066
- [FCA CF] Functions requiring qualifications (11 Mar 2020 to 21 Jun 2022)
Steven Lawrence Birch
IRN SLB01166
- SMF3 Executive Director (since 9 Dec 2019)
- SMF19 Head of Overseas Branch/Head of Overseas (9 Dec 2019 to 21 Jan 2022)
- SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2022)
- CF10 Compliance Oversight (1 Apr 2011 to 8 Dec 2019)
- CF1 Director (1 Apr 2011 to 8 Dec 2019)
- CF3 Chief Executive (1 Apr 2011 to 8 Dec 2019)
Tatyana Dachyshyn
IRN TXD01245
- CF30 Customer (26 Apr 2011 to 13 May 2011)
Tracy Lee Verdon
IRN TLE00002
- CF11 Money Laundering Reporting (3 Feb 2012 to 8 Jun 2012)
Tristan Marie Laurent D'Aboville
IRN TMD01056
- 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 (8 Jan 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.