James P. O'shaughnessy

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CRD#: 1890402

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.

James Patrick O'shaughnessy, who also goes by James Patrick Oshaughnessy, James Oshaughnessy, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Patrick Oshaughnessy | James Oshaughnessy

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.

REGISTRANT IS THE AUTHOR OF THE BOOKS: INVEST LIKE THE BEST, WHAT WORKS ON WALL STREET, HOW TO RETIRE RICH, AND PREDICTING THE MARKETS OF TOMORROW. Registrant in his individual capacity, is a member of the hedge fund Deep Basin Capital LP's advisory Board (meets no less than once annually), of which the position is voluntary, without compensation, and not involved in the day-to-day management or business of the company. The Advisory Board does not possess any legal or contractual authority to make any decisions or set policy on behalf of the company.

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

November 4, 2010 - July 8, 2013

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

December 21, 2007 - April 16, 2008

BEAR STEARNS ASSET MANAGEMENT INC.

RIA

CRD#: 113359

STAMFORD, CT

Past

November 23, 2007 - January 3, 2023

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

RIA

CRD#: 144594

STAMFORD, CT

Past

August 21, 2002 - November 21, 2007

BEAR STEARNS ASSET MANAGEMENT INC.

RIA

CRD#: 113359

NEW YORK, NY

Past

October 23, 2001 - October 5, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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

IAR

Series 66

Date: 8/5/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/2002

General Securities Representative Examination

Current Firm

QUASAR DISTRIBUTORS, LLC

CRD#: 103848 / SEC#: , 8-52323

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 01/21/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145

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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James P. O'shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

BEAR STEARNS ASSET MANAGEMENT INC.

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

BEAR STEARNS ASSET MANAGEMENT INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/5/2002

Series 63

Date: 10/5/1988

Series 7

Date: 4/17/2002

Current Firm

QUASAR DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

QUASAR DISTRIBUTORS, LLC

TRUST BUT VERIFY

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