Mark S. Oshea
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.
Mark Steven Oshea, who also goes by Mark Steven O'shea, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2012 - November 18, 2013
BARCLAYS CAPITAL INC.
August 22, 2012 - November 18, 2013
BARCLAYS CAPITAL INC.
July 6, 2011 - September 5, 2012
MORGAN STANLEY
July 6, 2011 - September 5, 2012
MORGAN STANLEY
January 19, 2011 - March 23, 2011
MORGAN STANLEY
July 19, 2004 - June 15, 2006
JOSEPH A. SANGIMINO, INC.
June 1, 2004 - July 19, 2004
NANDRA GROUP, INC.
March 29, 2001 - June 1, 2004
JOSEPH A. SANGIMINO, INC.
October 8, 1994 - July 26, 1996
DINA SECURITIES, INC.
March 31, 1994 - August 9, 1994
HIBBARD BROWN & CO., INC.
November 5, 1992 - March 9, 1994
UBS FINANCIAL SERVICES INC.
March 21, 1991 - October 23, 1992
HIBBARD BROWN & CO., 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 7A
Date: 9/25/2002
Floor Broker Representative ExamSeries 25
Date: 10/22/2001
NYSE Trading Assistant ExaminationCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
