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Kevin M. Oshea

Some features on this profile are disabled
CRD#: 1394070
KO

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 Michael Oshea was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 5 firms and has passed the Series 63, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 14, 1995 - December 31, 1997

PRENTICE SECURITIES, INCORPORATED

BD
CRD#: 22897
HALLANDALE, FL
Past

October 9, 1994 - March 9, 1995

GRAYSON FINANCIAL LLC

BD
CRD#: 11764
RED BANK, NJ
Past

March 16, 1989 - September 28, 1994

GLOBAL PARTNERS SECURITIES INC.

BD
CRD#: 19606
FORT LAUDERDALE, FL
Past

January 13, 1989 - March 13, 1989

LEVCO SECURITIES CORP.

BD
CRD#: 15483
Past

July 23, 1985 - January 2, 1989

EQUITABLE SECURITIES OF NEW YORK,INC.

BD
CRD#: 14583

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: 7/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/15/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/17/1989
Registered Options Principal Examination

Current Firm

PS
PRENTICE SECURITIES, INCORPORATED
PRENTICE - DOMINICK SECURITIES, INC. | SJV SECURITIES, INC. | PRENTICE SECURITIES, INCORPORATED | PRENTICE SECURITIES INC.

CRD#: 22897 / SEC#: , 8-40036

BD
Cancelled by SEC on 10/09/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/30/1988
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TIERNEY, MICHAEL EDWARDPRESIDENT/CEO/DIRECTOR804928
MULLINS, NANCYSHAREHOLDER342604
DOMINICK & DOMINICK, INCORPORATEDSHAREHOLDER
AVALON INVESTMENT ASSOCIATES INCSHAREHOLDER
BALUYO, CATHERINE ANNSECRETARY2188043
BOSWELL, JOHN DOUGLASSHAREHOLDER/COMPLIANCE DIR/CFO1031653
BURKE, BARBARA JANESHAREHOLDER1242140

Disclosures

Regulatory Event6
Arbitration6

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

PRENTICE SECURITIES, INCORPORATED

CRD#: 22897

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