Patrick A. O'shea

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CRD#: 1580879

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.

Patrick Arthur O'shea, who also goes by Pat Oshea, Patrick Arthur Oshea, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1986. Patrick had worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pat Oshea | Patrick Arthur Oshea

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

June 23, 2022 - December 21, 2023

VESTTOO SECURITIES (USA) LLC

CRD#: 315947

REHOBOTH, DE

Past

November 11, 2020 - November 14, 2022

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

August 25, 2017 - November 23, 2018

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

January 2, 2013 - September 11, 2015

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

January 22, 2007 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

July 8, 2004 - September 29, 2006

BROWN ADVISORY SECURITIES, LLC

CRD#: 120736

BALTIMORE, MD

Past

June 14, 1999 - December 18, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

July 29, 1992 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 18, 1986 - August 30, 1988

SALOMON BROTHERS INC.

CRD#: 740

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

Series 63

Date: 4/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2000

General Securities Principal Examination

Current Firm

VESTTOO SECURITIES (USA) LLC

DH CAPITAL SECURITIES, LLC | VESTTOO SECURITIES (USA) LLC | DML SECURITIES LLC

CRD#: 315947 / SEC#: , 8-70767

Terminated by SEC on 12/29/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 07/06/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
VESTTOO SPVHOLDINGS LLC	SOLE MEMBER
O'SHEA, PATRICK ARTHUR	CHIEF EXECUTIVE OFFICER	1580879
O'SHEA, PATRICK ARTHUR	CHIEF COMPLIANCE OFFICER	1580879
RIORDAN, TIFFANY	FINOP/PFO/POO	6313437

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.

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Patrick A. O'shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BA SECURITIES, LLC

BA SECURITIES, LLC

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

BROWN ADVISORY SECURITIES, LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2001

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/27/1992

Series 24

Date: 11/21/2000

Current Firm

VESTTOO SECURITIES (USA) LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

VESTTOO SECURITIES (USA) LLC

TRUST BUT VERIFY

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