Thomas W. O'shaughnessy

POLARIS WEALTH MANAGEMENT

FLOSSMOOR, IL 60422

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CRD#: 2561923

Professional summary

Thomas William O'shaughnessy III, CFP®, who also goes by Thomas William Oshaughnessy III, Thomas William Oshaughnessy, is a registered financial advisor currently at POLARIS WEALTH MANAGEMENT, LLC located in Flossmoor, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Oshaughnessy Iii | Thomas William Oshaughnessy

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.

I entered into ownership arrangement with SASI, Inc. In June a verbal agreement was created which was later documented in writing as the SASI General Service Agreement between SASI, Inc., Bill Brown, the principal owner of SASI, Inc. and Tom O'Shaughnessy. This agreement relates to both parties working together, as co owners to build the third party administration firm SASI, Inc. This relates to flat dollar plan consulting, document preparation and various qualified pllan administrative activity. This fits under the general heading of "Plan consulting".it is in addition to previously disclosed work related to the AVMA Trust, however this is different as I, Tom O'Shaughnessy am part owner of SASI, Inc. Specifically the business referred and maintained by me and my subcontractors to SASI, Inc. The General Service agreement that documents the terms is attached. This is unrelated to advisory services, investment management, or intestment sales. This agreement was signed 10/27. Original Request Note: I do not have any activity of this nature to disclose at this time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William O'shaughnessy III'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®

CFP^®

Certified Financial Planner

Experience

Current

August 25, 2020 - Present

POLARIS WEALTH MANAGEMENT, LLC

Office #1: 2620 Central Dr Unit Gs, Flossmoor, IL 60422

RIA

CRD#: 305777

FLOSSMOOR, IL

Past

May 9, 2018 - December 17, 2019

MARCUM FINANCIAL SERVICES LLC

RIA

CRD#: 152309

Chicago, IL

Past

September 21, 2017 - November 20, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHICAGO, IL

Past

November 5, 2014 - February 26, 2016

FORVIS MAZARS WEALTH ADVISORS, LLC

RIA

CRD#: 110905

OAKBROOK TERRACE, IL

Past

May 13, 2014 - December 31, 2014

WOLF FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 44225

OAKBROOK TERRACE, IL

Past

September 19, 2012 - November 10, 2014

RETIREMENT ADVISORY DIRECT, LLC

RIA

CRD#: 162163

PALATINE, IL

Past

March 24, 2004 - March 19, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

May 7, 2001 - September 10, 2002

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

January 1, 1999 - May 9, 2001

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

April 16, 1996 - November 30, 1998

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

June 2, 1995 - December 5, 1995

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

December 6, 1994 - May 3, 1995

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/25/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/1/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/1996

General Securities Principal Examination

Current Firm

POLARIS WEALTH MANAGEMENT, LLC

POLARIS | POLARIS WEALTH MANAGEMENT, LLC | POLARIS WEALTH MANAGEMENT | POLARIS INSURANCE AGENCY

CRD#: 305777 / SEC#:

Illinois

Registered Investment Advisory firm - (6/24/2020 Approved)

Texas

Registered Investment Advisory firm - (2/11/2021 Conditional Restricted)

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Contact information

Main Address

2620 Central Dr Unit Gs, Flossmoor, IL 60422

Mailing Address

1020 Park Dr #213, Flossmoor, IL 60422

Phone number

(312) 951-2606

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 11,200,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas W. O'shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William O'shaughnessy III's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARCUM FINANCIAL SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

FORVIS MAZARS WEALTH ADVISORS, LLC

WOLF FINANCIAL MANAGEMENT, LLC

RETIREMENT ADVISORY DIRECT, LLC

JOHN HANCOCK DISTRIBUTORS LLC

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

DWS DISTRIBUTORS, INC.

AVANTAX INVESTMENT SERVICES, INC.

AMERICAN INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/1996

Series 63

Date: 11/29/1994

Series 7

Date: 12/5/1994

Series 4

Date: 11/1/1996

Series 24

Date: 5/21/1996

Current Firm

POLARIS WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POLARIS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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