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Stephen M. Oshaughnessy

PRAGMA LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 1371973
SO

Professional summary

Stephen Michael Oshaughnessy, who also goes by Stephen Michael O'shaughnessy, Stephen Michael Oshhaughnessy, is a registered financial professional currently at PRAGMA LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Michael O'shaughnessy | Stephen Michael Oshhaughnessy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Michael Oshaughnessy's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 13, 2015 - Present

PRAGMA LLC

Office #1: 1370 Broadway 10th Floor, New York, NY 10018Office #2: 55 Hudson Yards Floor 15, New York, NY 10001
BD
CRD#: 136453
New York, NY
Past

October 5, 2010 - August 14, 2014

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
NEW YORK, NY
Past

April 1, 2000 - May 27, 2010

THE GRISWOLD COMPANY, INCORPORATED

BD
CRD#: 32944
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PL
PRAGMA LLC
PRAGMA LLC | PRAGMA SECURITIES LLC

CRD#: 136453 / SEC#: , 8-67016

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Hudson Yards Floor 15, New York, NY 10001
Mailing Address
55 Hudson Yards Floor 15, New York, NY 10001
Phone number
(212) 777-0052
Established
New York since 02/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS, INC.OWNER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER, FINOP6980135
MECHNER, DAVID ACEO5002127
PFEIFFER, KARL CURTISCHIEF BUSINESS OFFICER2406297
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

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.

Company Information

PRAGMA LLC

CRD#: 136453New York, NY 10018

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