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TO

Timothy S. Oshea

THALES CAPITAL PARTNERS
New York, NY 10022
CRD#: 1977624
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TO
Timothy Sean OsheaTHALES CAPITAL PARTNERS

Professional summary

Timothy Sean Oshea is a registered financial professional currently at THALES CAPITAL PARTNERS LLC located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1998. Timothy has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 30 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Timothy Sean Oshea's CRS (Customer Relationship Summary).

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

Current

March 16, 2015 - Present

THALES CAPITAL PARTNERS LLC

Office #1: 540 Madison Avenue 4th Floor, New York, NY 10022
BD
CRD#: 172125
New York, NY
Past

April 1, 1998 - August 7, 2012

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(11/20/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 10/4/2012
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/23/1998
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THALES CAPITAL PARTNERS LLC
THALES CAPITAL PARTNERS LLC

CRD#: 172125 / SEC#: , 8-69498

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
540 Madison Avenue 4th Floor, New York, NY 10022
Mailing Address
540 Madison Avenue 4th Floor, New York, NY 10022
Phone number
(646) 664-0650
Established
Delaware since 02/29/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
THALES ASSOCIATES LLCMEMBER
COHEN, MARC MOSHECEO2744699
OSHEA, TIMOTHY SEANCFO/FINOP1977624
THALES MANAGEMENT LLCMANAGER
TONDI, PASQUALE FRANCISCCO1208585

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.

Company Information

THALES CAPITAL PARTNERS LLC

CRD#: 172125New York, NY 10022

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