Kevin L. O'shea
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Louis O'shea, who also goes by Kevin Louis Oshea, Kevin Oshea, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1989. Kevin had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2011 - October 4, 2017
NATIONAL FINANCIAL SERVICES LLC
May 24, 2011 - October 4, 2017
FIDELITY BROKERAGE SERVICES LLC
June 25, 2009 - November 12, 2010
BNY MELLON SECURITIES CORPORATION
September 14, 2007 - November 12, 2010
BNY MELLON SECURITIES CORPORATION
August 20, 2005 - July 27, 2007
BOFA DISTRIBUTORS, INC.
October 13, 2004 - August 20, 2005
BACAP DISTRIBUTORS, LLC
October 7, 2003 - October 15, 2004
BOFA DISTRIBUTORS, INC.
April 2, 1997 - September 29, 2003
BOFA DISTRIBUTORS, INC.
December 13, 1994 - April 15, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 3, 1989 - August 4, 1993
FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
