Timothy P. Ohara
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.
Timothy Paul Ohara was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2014 - July 2, 2024
MAREX CAPITAL MARKETS INC.
November 2, 2011 - July 24, 2012
MUFG SECURITIES AMERICAS INC.
November 28, 1998 - June 3, 2011
MIZUHO SECURITIES USA LLC
June 6, 1996 - August 31, 1998
SANWA SECURITIES (USA) CO., L.P.
February 8, 1993 - August 31, 1998
SANWA UNIVERSAL SECURITIES CO., LLC
April 18, 1991 - August 14, 1995
SANWA SECURITIES (USA) CO., L.P.
April 18, 1991 - August 31, 1998
SANWA UNIVERSAL SECURITIES CO., LLC
October 31, 1989 - April 1, 1991
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
November 13, 1985 - September 13, 1989
THOMSON MCKINNON SECURITIES INC.
August 27, 1985 - October 23, 1985
BSI HOLDINGS, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
