Patrick D. O'sullivan
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.
Patrick Dennis O'sullivan, who also goes by Patrick Dennis Osullivan, Patrick Osullivan, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1994. Patrick had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2021 - October 5, 2021
FOX CHASE CAPITAL PARTNERS, LLC
August 2, 2017 - October 7, 2019
MIZUHO SECURITIES USA LLC
January 4, 2011 - October 24, 2016
SCOTIA CAPITAL (USA) INC.
October 13, 2009 - December 2, 2010
BTIG, LLC
December 5, 1994 - October 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FOX CHASE CAPITAL PARTNERS, LLC
CRD#: 104087 / SEC#: , 8-52624
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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