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OO

Oluwa Y. Oshodi

Some features on this profile are disabled
CRD#: 2523225
OO

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.

Oluwa Yemi Oshodi, who also goes by Babajide Oshodi, Yemi Oluwa Oshodi, was a registered financial professional .

Oluwa is a previously registered financial professional and started their career in finance in 1994. Oluwa had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Babajide Oshodi | Yemi Oluwa Oshodi

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

September 12, 2013 - October 1, 2014

THE VERTICAL GROUP

BD
CRD#: 104353
RED BANK, NJ
Past

October 1, 2010 - November 30, 2012

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
BOCA RATON, FL
Past

May 3, 2010 - October 8, 2010

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

February 12, 2009 - July 31, 2009

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

April 28, 2008 - September 3, 2008

RAMIUS SECURITIES LLC

BD
CRD#: 41076
NEW YORK, NY
Past

August 10, 2007 - January 18, 2008

NB GLOBAL TRADING, LLC

BD
CRD#: 143166
NEW YORK, NY
Past

December 12, 2005 - March 10, 2008

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

November 6, 2003 - November 12, 2004

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

February 8, 2000 - January 30, 2001

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

July 14, 1999 - February 8, 2000

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

June 7, 1999 - July 27, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 26, 1994 - June 7, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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: 12/10/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/23/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/5/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/8/2007
General Securities Principal Examination

Current Firm

TV
THE VERTICAL GROUP
ATWOOD, MARKS & COMPANY, INC | THE VERTICAL TRADING GROUP, LLC | THE VERTICAL GROUP, INC. | THE VERTICAL GROUP

CRD#: 104353 / SEC#: , 8-52814

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

Main Address
130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701
Mailing Address
99 Wall Street Suite 2280, New York, NY 10005
Phone number
(212) 918-1202
Established
New York since 08/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RAS HOLDINGS, LLCPARENT COMPANY
MARTIN, THOMAS DOMINICKFINOP, GSP (12/2003), CCO (3/2016)2363939
SCHAFFER, ROBERT ANDREWCEO, EXECUTIVE REPRESENTATIVE, GSP (12/2003)2743384

Disclosures

Regulatory Event13

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

THE VERTICAL GROUP

CRD#: 104353

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