John N. Oshaughnessy
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.
John Nelson Oshaughnessy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2003 - September 2, 2005
HARVEST CAPITAL LLC
January 8, 2002 - July 2, 2003
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 28, 2000 - December 10, 2001
HARVEST CAPITAL LLC
January 13, 1998 - December 31, 1999
VOYA FINANCIAL ADVISORS, INC.
May 8, 1997 - November 13, 1997
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARVEST CAPITAL LLC
CRD#: 35723 / SEC#: , 8-46845
Contact information
Documents
Direct owners and executive officers
Disclosures
| Arbitration | 1 |
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.
