Joseph E. O'shea
Professional summary
Joseph Edward O'shea JR, who also goes by Joseph Edward Oshea Jr, Joseph Edward Oshea, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Edward O'shea JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2022 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006July 21, 2022 - September 8, 2022
ARETE WEALTH ADVISORS, LLC
July 21, 2022 - September 8, 2022
ARETE WEALTH MANAGEMENT, LLC
September 15, 2014 - July 21, 2022
B. RILEY WEALTH ADVISORS, INC.
July 21, 2009 - July 21, 2022
NATIONAL SECURITIES CORPORATION
April 4, 2007 - July 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2006 - July 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 21, 2006 - November 30, 2006
JHS CAPITAL ADVISORS, LLC
July 12, 2002 - July 24, 2006
R.M. STARK & CO., INC.
February 4, 2002 - July 15, 2002
HARRISON SECURITIES, INC.
August 7, 2000 - February 6, 2002
THINKEQUITY LLC
May 11, 1999 - August 9, 2000
CARNEGIE INVESTOR SERVICES INC.
February 13, 1997 - May 10, 1999
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2022)
(10/5/2023)
(2/8/2023)
(2/8/2023)
(10/3/2022)
(2/7/2023)
(1/24/2024)
(12/19/2024)
(12/17/2024)
(9/12/2022)
(9/2/2022)
(1/22/2024)
(9/2/2022)
(1/22/2024)
(9/2/2022)
(9/2/2022)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
