Carol Ann O'NEil

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2007 → 02/2019
  H.D. Vest Investment Services
  Wellington, FL
• 10/2007 → 02/2019
  H.D. Vest Advisory Services
  Wellington, FL
• 01/2014 → 02/2019
  H.D.VEst Insurance Agency
  Irving, TX
• 02/2019 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2007-10-16 → 2019-03-01
  Avantax Advisory Services
  Wellington, FL
• 2006-06-22 → 2007-10-02
  Woodbury Financial Services, Inc.
  Boca Raton, FL
  Aiken, SC
• 2005-09-29 → 2006-06-26
  Mml Investors Services, Llc
  Boca Raton, FL
  Ft Lauderdale, FL
  Ft Lauderdale, FL

Other Businesses

Central Palm Beach Chamber of Commerce~'NIR'~12794 W Forest Hill Blvd.~Wellington~FL~33414~Club/Association Director/Officer~Director/Officer~5/1/2015~4hrs~0hrs~A member of the Board of Directors| CEO Financial Services~'NIR'~8461 Lake Worth Rd. ste. 129~Lake Worth~FL~33467~Other~Owner/Sole Proprietor~2/1/2007~240hrs~120hrs~Operational and/or Marketing Name| HEALTH & LIFE INSURANCE POSITION: Owner NATURE: Comprehensive financial services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 06/06/2005 ADDRESS: 8461 Lake Worth Rd, Suite 163, Lake Worth FL 33467, United States DESCRIPTION: Consult with clients on determining the appropriate level and composition of insurance based on their needs. ANNUITY INSURANCE POSITION: CEO NATURE: Retirement planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 04/20/2019 ADDRESS: 8461 Lake Worth Rd, Suite 163, Lake Worth FL 33467, United States DESCRIPTION: Work with appropriate clients who are interested in learning more about how annuities can be a valuable piece of their overall retirement plan/portfolios.

Exams

• S66 Uniform Combined State Law Examination
  2005-09-14

Other Names

• Carol Ann O'NEil
• Carol Ann Elliott