Daniel J. Oshea
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.
Daniel James Oshea was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 6 firms and has passed the Series 63 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
February 15, 1996 - December 31, 2003
PRIME CAPITAL SERVICES, INC.
November 12, 1993 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
June 23, 1992 - October 22, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
February 9, 1989 - March 16, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
April 11, 1988 - February 9, 1989
LEHMAN BROTHERS INC.
April 23, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 24, 1985 - April 25, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
