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Stephen M. Ohara

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CRD#: 2414652
SO

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.

Stephen Michael Ohara, who also goes by Stephen Michael O'hara II, Stephen Michael Ohara Ii, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 21, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Michael O'hara Ii | Stephen Michael Ohara Ii

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

August 24, 2021 - May 3, 2022

BERENBERG CAPITAL MARKETS LLC

BD
CRD#: 156757
NEW YORK, NY
Past

November 26, 2007 - July 6, 2021

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

October 1, 2000 - February 14, 2007

BANC OF AMERICA SPECIALIST, INC.

BD
CRD#: 103971
NEW YORK, NY
Past

April 14, 1998 - August 28, 2000

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

December 22, 1993 - May 13, 1997

QUICK & REILLY, INC.

BD
CRD#: 11217
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
RR
Series 63
Date: 1/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/14/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 21
Date: 10/10/2000
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 11/17/1999
NYSE Trading Assistant Examination

Current Firm

BC
BERENBERG CAPITAL MARKETS LLC
BERENBERG CAPITAL MARKETS LLC

CRD#: 156757 / SEC#: , 8-68821

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

Main Address
1251 Avenue Of The Americas 53rd Floor, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas 53rd Floor, New York, NY 10020
Phone number
(646) 949-9000
Established
Delaware since 12/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BERENBERG ASSET MANAGEMENT LLCMEMBER171274
BRANTLY, ZACHARY DALTONBOARD MEMBER6343999
MURPHY, JOHN MCHIEF COMPLIANCE OFFICER1975663
SCHWARTAU, LARSBOARD MEMBER6483384
SHAMALOV, GREGORYFINOP7664290

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

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757

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