Denis A. Osullivan

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CRD#: 1779949

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.

Denis Anthony Osullivan was a registered financial professional .

Denis is a previously registered financial professional and started their career in finance in 1988. Denis had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

May 31, 2020 - August 23, 2021

OARS CAPITAL

RIA

CRD#: 153198

DILLSBURG, PA

Past

November 17, 2014 - June 25, 2020

HEMINGTON WEALTH MANAGEMENT

RIA

CRD#: 169024

FALLS CHURCH, VA

Past

November 16, 2012 - November 14, 2014

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

POTOMAC, MD

Past

October 31, 2012 - November 17, 2014

CONVERGENT WEALTH ADVISORS, LLC

RIA

CRD#: 143719

POTOMAC, MD

Past

May 23, 1991 - November 20, 2012

MASON INVESTMENT ADVISORY SERVICES INC

RIA

CRD#: 111113

RESTON, VA

Past

April 22, 1991 - October 25, 2012

MASON SECURITIES, INC.

CRD#: 12967

RESTON, VA

Past

March 17, 1988 - April 11, 1991

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

February 4, 1988 - February 4, 1988

HERITAGE FINANCIAL INVESTMENTS CORPORATION

CRD#: 15767

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OARS CAPITAL

MARC SMITH INVESTMENTS | RED WAVE INVESTMENTS LLC | RED WAVE INVESTMENTS | OARS CAPITAL

CRD#: 153198 / SEC#: 801-119079

RIA

Registered Investment Advisory firm - (7/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (10/13/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/14/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/1987

General Securities Representative Examination

Current Firm

OARS CAPITAL

MARC SMITH INVESTMENTS | RED WAVE INVESTMENTS LLC | RED WAVE INVESTMENTS | OARS CAPITAL

CRD#: 153198 / SEC#: 801-119079

RIA

Registered Investment Advisory firm - (7/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (10/13/2020 Terminated)

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Contact information

Main Address

6 North Baltimore Street Suite 3, Dillsburg, PA 17019

Mailing Address

Phone number

(717) 601-0651

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OARS CAPITAL FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	720
AUM (Assets Under Management)	$ 360,293,484

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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Firm Stability Insights

Denis A. Osullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HEMINGTON WEALTH MANAGEMENT

CITY NATIONAL SECURITIES, INC.

CONVERGENT WEALTH ADVISORS, LLC

MASON INVESTMENT ADVISORY SERVICES INC

MASON SECURITIES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

HERITAGE FINANCIAL INVESTMENTS CORPORATION

Primary Firm SEC Registration

OARS CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/1991

Series 63

Date: 12/21/1987

SIE

Date: 11/14/2014

Series 7

Date: 12/12/1987

Current Firm

OARS CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OARS CAPITAL

TRUST BUT VERIFY

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