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PO

Patrick S. Ohara

ABERDEEN FUND DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 1469698
PO

Professional summary

Patrick Shawn Ohara, who also goes by Patrick S Ohara, is a registered financial professional currently at ABERDEEN FUND DISTRIBUTORS, LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1986. Patrick has worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick S Ohara

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 Patrick Shawn Ohara's CRS (Customer Relationship Summary).
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

July 9, 2024 - Present

ABERDEEN FUND DISTRIBUTORS, LLC

Office #1: 875 Third Ave 4th Floor, New York, NY 10022
BD
CRD#: 146230
New York, NY
Past

January 16, 2024 - July 10, 2024

SAN BLAS SECURITIES LLC

BD
CRD#: 290605
New York, NY
Past

May 11, 2021 - December 31, 2023

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
New York, NY
Past

March 4, 2013 - February 4, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
NEW YORK, NY
Past

April 5, 2010 - November 16, 2011

PFM FUND DISTRIBUTORS, INC.

BD
CRD#: 114474
HARRISBURG, PA
Past

October 26, 2009 - March 16, 2010

STATESMAN CAPITAL ADVISORS, LLC

RIA
CRD#: 149718
STAMFORD, CT
Past

July 28, 2006 - October 28, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PURCHASE, NY
Past

October 20, 2005 - July 26, 2006

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
PURCHASE, NY
Past

February 22, 2002 - September 30, 2005

COMMONFUND SECURITIES, INC.

BD
CRD#: 43541
WILTON, CT
Past

August 2, 2000 - October 10, 2001

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

August 14, 1995 - July 19, 1999

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

February 1, 1995 - May 22, 1995

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

September 4, 1990 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

November 11, 1986 - May 8, 1989

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
Past

April 2, 1986 - August 26, 1986

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/9/2024)
RR
Alaska
(7/9/2024)
RR
Arizona
(7/9/2024)
RR
Arkansas
(7/9/2024)
RR
California
(7/9/2024)
RR
Colorado
(7/9/2024)
RR
Connecticut
(7/9/2024)
RR
Delaware
(7/9/2024)
RR
District of Columbia
(7/9/2024)
RR
Florida
(7/9/2024)
RR
Georgia
(7/9/2024)
RR
Hawaii
(7/9/2024)
RR
Idaho
(7/9/2024)
RR
Illinois
(7/9/2024)
RR
Indiana
(7/9/2024)
RR
Iowa
(7/9/2024)
RR
Kansas
(7/9/2024)
RR
Kentucky
(7/9/2024)
RR
Louisiana
(7/9/2024)
RR
Maine
(7/9/2024)
RR
Maryland
(7/9/2024)
RR
Massachusetts
(7/9/2024)
RR
Michigan
(7/9/2024)
RR
Minnesota
(7/9/2024)
RR
Mississippi
(7/9/2024)
RR
Missouri
(7/9/2024)
RR
Montana
(7/9/2024)
RR
Nebraska
(7/9/2024)
RR
Nevada
(7/9/2024)
RR
New Hampshire
(7/9/2024)
RR
New Jersey
(7/9/2024)
RR
New Mexico
(7/9/2024)
RR
New York
(7/9/2024)
RR
North Carolina
(7/9/2024)
RR
North Dakota
(7/9/2024)
RR
Ohio
(7/10/2024)
RR
Oklahoma
(7/9/2024)
RR
Oregon
(7/9/2024)
RR
Pennsylvania
(7/9/2024)
RR
Puerto Rico
(7/9/2024)
RR
Rhode Island
(7/9/2024)
RR
South Carolina
(7/9/2024)
RR
South Dakota
(7/9/2024)
RR
Tennessee
(7/9/2024)
RR
Texas
(7/9/2024)
RR
Utah
(7/9/2024)
RR
Vermont
(7/9/2024)
RR
Virgin Islands
(7/9/2024)
RR
Virginia
(7/9/2024)
RR
Washington
(7/9/2024)
RR
West Virginia
(7/9/2024)
RR
Wisconsin
(7/9/2024)
RR
Wyoming
(7/9/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/20/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/18/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/21/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/11/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/7/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/1/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ABERDEEN FUND DISTRIBUTORS, LLC
ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230 / SEC#: , 8-67799

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

Main Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Mailing Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Phone number
(215) 405-5700
Established
Delaware since 10/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ABRDN, INC.SOLE MEMBER
DUNN, STEVEN BOYDCHIEF EXECUTIVE OFFICER2203356
HETTEL, KENDRA ANNACHIEF COMPLIANCE OFFICER6164999
KIRSCHENBLATT, CHAD ETHANCHIEF FINANCIAL OFFICER/FINOP2503352

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

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230New York, NY 10022

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