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EF

Erin M. Foley

O'SHAUGHNESSY ASSET MANAGEMENT
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 2673962
EF

Professional summary

Erin Marie Foley is a registered financial advisor currently at O'SHAUGHNESSY ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Erin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Erin has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
REGISTRANT IS A PASSIVE INVESTOR IN A START-UP COMPANY, ELLISON EYEWEAR, PURELY FINANCIAL INVOLVEMENT NO MANAGERIAL NOR OPERATIONAL RESPONSIBILITIES. THE REGISTRANT IS NOT INVOLVED IN THE DAILY OPERATIONS AND SHE SHOULD NOT DEVOTE ANY HOURS TO THIS BUSINESS DURING NORMAL BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Marie Foley's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 9, 2008 - Present

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902
RIA
CRD#: 144594
STAMFORD, CT
Past

April 11, 2011 - July 8, 2013

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

June 24, 2002 - February 27, 2007

CANACCORD GENUITY LLC

BD
CRD#: 1020
SAN FRANCISCO, CA
Past

June 8, 1998 - June 18, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 9, 1996 - May 22, 1998

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OA
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA
Registered Investment Advisory firm - (7/25/2007 Approved)

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
Connecticut
(5/9/2008)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/8/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/25/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/25/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

OA
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA
Registered Investment Advisory firm - (7/25/2007 Approved)
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Contact information

Main Address
100 First Stamford Place, Stamford, CT 06902
Mailing Address
Phone number
(203) 975-3333
Established
Firm type
Fiscal year end
# of Employees
81

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OSAM FORM ADV PART 2 (12-2024) FINAL (12/17/2024)

Regulatory assets under management

Total Number of Accounts6,791
AUM (Assets Under Management)$ 12,599,503,777

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

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594Stamford, CT 06902

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