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VO

Vincent M. Ohalloran

Some features on this profile are disabled
CRD#: 2822168
VO

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.

Vincent Michael Ohalloran, who also goes by VIncent Michael O'halloran, was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 1996. Vincent had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vincent Michael O'halloran

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

March 18, 2015 - September 2, 2015

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

July 23, 2012 - April 1, 2014

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

February 10, 2012 - July 9, 2012

WEDGE SECURITIES, LLC

BD
CRD#: 126776
NEW YORK, NY
Past

June 16, 2010 - September 9, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 17, 2007 - June 25, 2010

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
GREENWICH, CT
Past

March 15, 2004 - January 16, 2007

CARIS & COMPANY, INC.

BD
CRD#: 104235
NEW YORK, NY
Past

September 6, 2002 - March 22, 2004

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
GREENWICH, CT
Past

December 4, 2000 - September 26, 2002

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

August 17, 1998 - November 28, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

September 22, 1997 - July 6, 1998

KAUFMAN BROS., L.P.

BD
CRD#: 37909
NEW YORK, NY
Past

April 16, 1997 - August 30, 1997

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
FT. WORTH, TX
Past

December 16, 1996 - April 16, 1997

BGC FINANCIAL, L.P.

BD
CRD#: 19801
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: 2/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1996
General Securities Representative Examination

Current Firm

WH
W.R. HAMBRECHT + CO., LLC
W.R. HAMBRECHT & CO., LLC | W.R. HAMBRECHT + CO., LLC | W.R. HAMBRECHT & COMPANY, LLC

CRD#: 45040 / SEC#: , 8-50935

BD
Withdrawn by SEC on 08/14/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HAMBRECHT PARTNERS HOLDINGS, LLCOWNER
AARON, STEVEN ROSSCHIEF COMPLIANCE OFFICER1298072
HULLAR, JOHN PAULCHAIRMAN & MANAGING PARTNER711679
YATES, EUGENE ALANCHIEF FINANCIAL OFFICER/FINOP2851324

Disclosures

Regulatory Event10
Civil Event3

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

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

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