Thomas F. Omara
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.
Thomas Francis Xavier Omara, who also goes by Thomas O'mara, Thomas Francis Omara, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2018 - November 5, 2019
OCEANIC CAPITAL MANAGEMENT LLC
January 15, 2013 - March 3, 2015
ATM
November 21, 2012 - March 24, 2015
COWEN EQUITY FINANCE LP
January 5, 2012 - August 20, 2015
TD ARRANGED SERVICES LLC
August 24, 2010 - February 14, 2017
COWEN AND COMPANY
June 18, 1991 - July 21, 2005
CREDIT SUISSE SECURITIES (USA) LLC
November 18, 1986 - June 24, 1991
LEHMAN BROTHERS 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 55
Date: 2/23/2011
Limited Representative-Equity Trader ExamCurrent Firm
OCEANIC CAPITAL MANAGEMENT LLC
CRD#: 146135 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 59,165,560 |
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.
