David Oshea
Professional summary
David Oshea, who also goes by David O Shea, David Timothy O'shea, David Timothy Oshea, David Oshea, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Oshea's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020March 7, 2023 - October 7, 2024
CITIGROUP GLOBAL MARKETS INC.
July 27, 2020 - September 7, 2021
PAULSON INVESTMENT COMPANY LLC
December 3, 2018 - July 8, 2019
LONGBOW SECURITIES, LLC
June 2, 2015 - October 18, 2018
OLIVETREE FINANCIAL, LLC
March 15, 2006 - April 22, 2015
STERNE, AGEE & LEACH, INC.
January 5, 2004 - March 8, 2006
DOWLING & PARTNERS SECURITIES LLC
February 26, 1997 - October 16, 2002
NEEDHAM & COMPANY, LLC
September 21, 1994 - February 24, 1997
BMO CAPITAL MARKETS CORP.
March 3, 1993 - August 2, 1994
HOWE BARNES HOEFER & ARNETT, INC.
January 27, 1988 - March 9, 1993
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/24/1998
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MIZUHO SECURITIES USA LLC
CRD#: 19647 / SEC#: , 8-37710
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO AMERICAS LLC | DIRECT OWNER | |
| BUCHANAN, JOHN ROBERT | MANAGING DIRECTOR/CHIEF OPERATING OFFICER | 1765774 |
| BUSQUET, JACQUES JEAN | DIRECTOR | 3227628 |
| CALLAN MONTELLA, ERIN MARIE | DIRECTOR | 2938656 |
| CONSIDINE, JILL MARIE | DIRECTOR | 5948267 |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| HARTNETT, THOMAS WALTER TIMOTHY | MANAGING DIRECTOR & HEAD OF SALES & TRADING | 3278880 |
| HERRLE, LOUISE MARY | DIRECTOR | 5868706 |
| HOPKINS, ADAM RICHARD | MANAGING DIRECTOR & GENERAL COUNSEL | 5512590 |
| KATZ, MICHAL NMI | MANAGING DIRECTOR & HEAD OF INVESTMENT BANKING | 2813944 |
| KUROSAWA, TATSUYA NMI | DIRECTOR | 8100550 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| MATSUURA, SHUJI NMI | DIRECTOR & CHAIRMAN | 7375457 |
| MURPHY, JOHN MAC | MANAGING DIRECTOR & HEAD OF FUTURES DIVISION | 1488471 |
| PASQUILL, DARLENE NMI | MANAGING DIRECTOR & HEAD OF EQUITY | 2505982 |
| RIZZIERI, GERALD ANTHONY | PRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR | 1751181 |
| SHIRAISHI, SHIRO NMI | DIRECTOR | 8100597 |
| SKOLLER, RICHARD MARK | SECRETARY | 6663407 |
| TATE, SEIJI NMI | DIRECTOR | 8077227 |
| WONG, DAVID TAI WAI | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
| YONEZAWA, TAKEFUMI NMI | DIRECTOR | 8100586 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
Red Flags
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